THOMAS HOWARD MCGOWAN

THOMAS HOWARD MCGOWAN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 310 DORLA CT STE 201, ZEPHYR COVE, NV, 89448.

THOMAS HOWARD MCGOWAN has worked at LPL FINANCIAL LLC since September 08, 2009

Disclosure History

THOMAS HOWARD MCGOWAN has 5 Disclosure Event(s).

Date: May 31, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $6,340.00
Judgment/Lien Type: Tax
Broker Comment: ALL RESULTING FROM EXTRAORDINARY MEDICAL EXPENSES (LUNG CANCER) OF REP'S LATE WIFE IN '01, '02 & '03. NEGOTIATIONS CONTINUE WITH THE IRS TO RESOLVE THIS.

Date: October 13, 2005
Category: Judgment / Lien
Judgment/Lien Amount: $5,467.00
Judgment/Lien Type: Tax
Broker Comment: ALL RESULTING FROM EXTRAORDINARY MEDICAL EXPENSES (LUNG CANCER) OF REP'S LATE WIFE IN '01, '02 & '03. NEGOTIATIONS CONTINUE WITH THE IRS TO RESOLVE THIS.

Date: September 30, 2004
Category: Judgment / Lien
Judgment/Lien Amount: $45,305.00
Judgment/Lien Type: Tax
Broker Comment: ALL RESULTING FROM EXTRAORDINARY MEDICAL EXPENSES (LUNG CANCER) OF REP'S LATE WIFE IN '01, '02 & '03. NEGOTIATIONS CONTINUE WITH THE IRS TO RESOLVE THIS.

Date: January 26, 2004
Category: Judgment / Lien
Judgment/Lien Amount: $165,764.00
Judgment/Lien Type: Tax
Broker Comment: ALL RESULTING FROM EXTRAORDINARY MEDICAL EXPENSES (LUNG CANCER) OF REP'S LATE WIFE IN '01, '02 & '03. NEGOTIATIONS CONTINUE WITH THE IRS TO RESOLVE THIS.

Date: April 10, 1989
Category: Customer Dispute
Allegations: THE [CUSTOMERS] ALLEGED THAT ACCOUNTREPRESENTATIVE [BROKER] MADE UNAUTHORIZED TRANSACTIONS INVARIOUS E. F. HUTTON UNIT INVESTMENT TRUSTS IN EARLY 1987. IHAVE BEEN CHARGED WITH KNOWING AND APPROVING [BROKER'S]ALLEGED UNAUTHORIZED TRANSACTIONS. THE [CUSTOMERS] SEEKAPPROXIMATELY $26,000 IN ALLEGED DAMAGES. (SEE ATTACHED CLAIMLETTER AND RESPONSE)
Damage Amount Requested: $26,000.00 Damages Granted: $4,000.00
Broker Comment: SETTLED AND TOM MCGOWAN CONTRIBUTED NOTHING TOWARDS THE SETTLEMENT. IT IS THE POSITION OF [BROKER], E. F. HUTTON ANDMYSELF THAT ALL TRANSACTIONS FOR THE [CUSTOMERS] WERE AUTHORIZED BYTHEM.

More Information

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