THOMAS RAY MILLS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1030 seminary street, suite d, Napa, CA, 94559.
THOMAS RAY MILLS has worked at LPL FINANCIAL LLC since September 08, 2009
Disclosure History
THOMAS RAY MILLS has 2 Disclosure Event(s).
Date: September 21, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGES THE EXISTENCE OF THE SURRENDER CHARGES ON THE ANNUITY CONTRACTS WAS NOT BROUGHT TO THEIR ATTENTION.THEY ARE REQUESTING A DISSOLUTION OF THE EXCISTING ANNUITIES WITHOUT PENALTY-THE SURRENDER CHARGES CURRENTLY TOTAL $27,366.90 Damage Amount Requested: $27,366.90 Broker Comment: B/D MADE DECISION THAT EVERYTHING WAS PROPERLY DISCLOSED AT TIME OF PURCHASE AND THE CLAIM WAS DENIED.BROKER WAS NOT INVOLVED IN ANY DISCUSSIONS.
Date: September 09, 1998 Category: Customer Dispute Allegations: FRADULENT MISREPRESENTATION, NEGLIGENTMISREPRESENTATION $90,000 PLUS INTEREST PLUS DAMAGES Settlement Amount: $50,000.00 Broker Comment: DUE TO THE EXPENSE OF LITIGATION AND ON ADVICE OF COUNSEL, IT WAS AGREED TO SETTLE THE CASE. AS CHARGES WERE DISMISSED AND COMPLAINTS DROPPED.
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