THOMAS FREDERICK MCCLUTCHY is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 28 State Street, 40th Floor, SUITE A, BOSTON, MA, 02109.
THOMAS FREDERICK MCCLUTCHY has worked at CANTELLA & CO., INC. since September 03, 2014
Disclosure History
THOMAS FREDERICK MCCLUTCHY has 2 Disclosure Event(s).
Date: December 23, 2013 Category: Employment Separation After Allegations Firm Name: STIFEL NICOLAUS & COMPANY, INC. Termination Type: Discharged Allegations: VIOLATION OF FIRM POLICY REGARDING UNAPPROVED OUTGOING WRITTEN COMMUNICATION. Broker Comment: I FAXED AN APPLICATION FOR A DONOR-ADVISED FUND TO EATON VANCE ON BEHALF OF ONE OF MY CLIENTS FROM A NON-FIRM/UNAPPROVED LOCATION (UPS STORE).
Date: January 02, 2003 Category: Customer Dispute Allegations: CLIENTS ALLEGED THAT THE PURCHASE OF A STOCK IN 1999 AND A CD WERE MISREPRESENTED. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
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