THOMAS RICHARD LOPARDO

THOMAS RICHARD LOPARDO is currently employed as a Broker and/or Investment Adviser at WESTMINSTER FINANCIAL SECURITIES, INC. located at 600 State Street Suite 3, Portsmouth, NH, 03801.

THOMAS RICHARD LOPARDO has worked at WESTMINSTER FINANCIAL SECURITIES, INC. since September 22, 2010

Disclosure History

THOMAS RICHARD LOPARDO has 1 Disclosure Event(s).

Date: May 09, 2008
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT THE REPRESENTATIVE OVERLOADED HIS PORTFOLIO IN ONE STOCK.
Damage Amount Requested: $25,808.00
Broker Comment: CLIENTS CLAIMS SHOWED TO BE UNSUBSTANTIATED.

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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