THOMAS FREDERICK MCGINNIS is currently employed as a Broker and/or Investment Adviser at CAPITAL FINANCIAL SERVICES, INC. located at 1840 N. 5TH ST, SPRINGFIELD, OR, 97477.
THOMAS FREDERICK MCGINNIS has worked at CAPITAL FINANCIAL SERVICES, INC. since March 07, 2007
Disclosure History
THOMAS FREDERICK MCGINNIS has 2 Disclosure Event(s).
Date: August 14, 2002 Category: Customer Dispute Allegations: CLIENT CONTENDS HE PURCHASED A VARIABLE ANNUITY CONTRACT [contract #] DUE TO ADVICE FROM REPRESENTATIVE FORECASTING FINANCIAL MARKETS WOULD CONTINUE TO RISE. CONTRACT EFFECTIVE DATE 4/19/2000. ARBITRATION RECEIVED OCTOBER 1,2002 Damages Granted: $75,000.00 Broker Comment: UNCHECKED 14I(1)C AND CHECKED 14I (1) B TO MATCH TO CORRESPOND WITH QUESTION #16 ABOVE.
Date: June 05, 1995 Category: Employment Separation After Allegations Firm Name: THE PRUDENTIAL INSURANCE COMPANY OF AMERICA Termination Type: Discharged Allegations: EXAM TC# E3 B950290/LOC#96-08UNAUTHORIZED ADVERTISEMENT IN NEWSPAPER Broker Comment: NASD FOUND ``ADVERTISING WITHOUT PRIOR WRITTENAPPROVAL FROM A PRINCIPAL OF YOUR FIRM, APPEARS TO CONSTITUTE AVIOLATION OF ARTICLE III, SECTION 35 (B) (1) OF THEASSOCIATION`S RULES OF FAIR PRACTICE.`` LETTER OF CAUTIONISSUED WITH NO PENALTIES OR FINES ISSUED.NOT PROVIDED
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