THOMAS GEORGE LOCKMUND

THOMAS GEORGE LOCKMUND is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 1501 STATE STREET, NEW ALBANY, IN, 47150.

THOMAS GEORGE LOCKMUND has worked at ROYAL ALLIANCE ASSOCIATES, INC. since October 16, 2017

Disclosure History

THOMAS GEORGE LOCKMUND has 1 Disclosure Event(s).

Date: May 09, 2008
Category: Customer Dispute
Allegations: CONTRACT OWNER ALLEGES THAT THE SUNAMERICA VARIABLE ANNUITY SHE PURCHASED ON 7/10/07 WAS NOT WHAT SHE EXPECTED, DID NOT MEET HER RETIREMENT OBJECTIVE AND WAS NOT SUITABLE.
Damage Amount Requested: $39,929.11

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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