THOMAS LEONARD PERKINS is currently employed as a Broker and/or Investment Adviser at CARTER, TERRY & COMPANY, INC. located at 3060 PEACHTREE ROAD SUITE 1400, ATLANTA, GA, 30305.
THOMAS LEONARD PERKINS has worked at CARTER, TERRY & COMPANY, INC. since December 19, 2002
Disclosure History
THOMAS LEONARD PERKINS has 3 Disclosure Event(s).
Date: November 17, 1995 Category: Regulatory
Date: February 22, 1994 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGED THAT HIS REGISTEREDREPRESENTATIVE EXERCISED DISCRETION ON HIS ACCOUNT WITHOUT THEDISCRETION BEING REDUCED TO WRITING. DAMAGES WERE NOTSPECIFIED. Settlement Amount: $36,000.00 Broker Comment: THE FIRM AGREED TO PAY THE CUSTOMER $36,000.00.MR. PERKINS WILL CONTRIBUTE $15,000.00 TO THE SETTLEMENT.Not Provided
Date: January 01, 1986 Category: Customer Dispute Allegations: APPROXIMATELY $100,000, OVERTRADING, RECKLESSCONDUCT, EXCESSIVE RISK TAKING. Damage Amount Requested: $100,000.00 Settlement Amount: $30,000.00 Broker Comment: NO SUSPENSION - MERRILL LYNCH ON ADVICE OF COUNSEAGREED TO SETTLE TO AVOID LITIGATION EXPENSES. NO FINE ORPENALTY WAS ASSESSED AGAINST ME.IT WAS DISCLOSED BY CLIENTS'S ATTORNEY THAT [CUSTOMER] HAD CONTRACTED M/S. MERRILL COUNSEL FELT THAT THOUGH IWAS NEVER MADE AWARE OF HER CONDITION, THIS IN ADDITION TOLITIGATION EXPENSES AND POTENTIAL ADVERSE PUBLICITY IT WOULD BEIN OUR BEST INTEREST TO SETTLE.
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