THOMAS C MCLAURIN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 18915 142ND AVE NE STE 120, WOODINVILLE, WA, 98072.
THOMAS C MCLAURIN has worked at CETERA ADVISORS LLC since February 28, 2012
Disclosure History
THOMAS C MCLAURIN has 1 Disclosure Event(s).
Date: January 07, 2015 Category: Customer Dispute Allegations: VIOLATIONS OF SECURITIES ACTS OF STATE OF WASHINGTON AND FINRA, AND NEGLIGENCE. Damage Amount Requested: $150,000.00 Settlement Amount: $30,000.00 Broker Comment: THE REGISTERED REPRESENTATIVE STRENUOUSLY DENIES ALL ALLEGATIONS ASSERTED. THE REGISTERED REPRESENTATIVE TRUTHFULLY DISCLOSED ALL MATERIAL FACTS TO THE CLIENT. THE INVESTMENTS RECOMMENDED AND MADE ON BEHALF OF THE CLIENT WERE APPROPRIATE AND CONSISTENT WITH THE CLIENT'S STATED INVESTMENT OBJECTIVES.
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