THOMAS DIXON SANDERS is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1509 -B MART DR, LITTLE ROCK, AR, 72202.
THOMAS DIXON SANDERS has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since December 19, 2011
Disclosure History
THOMAS DIXON SANDERS has 1 Disclosure Event(s).
Date: October 18, 2013 Category: Customer Dispute Allegations: ALLEGATIONS INCLUDE UNSUITABLE INVESTMENTS, VIOLATIONS OF SECURITIES LAWS, VIOLATIONS OF THE ARKANSAS SECURITIES ACT, BREACH OF CONTRACT, COMMON LAW FRAUD, BREACH OF FIDUCIARY DUTY AND NEGLIGENCE CONCERNING THE TENANT IN COMMON TRANSACTIONS PURCHASED IN OCTOBER 2008. Damage Amount Requested: $1,808,294.25 Settlement Amount: $80,000.00 Broker Comment: AS A COMMERCIAL REAL ESTATE SPECIALIST HIMSELF, RR STATES THE CLIENT WAS WELL AWARE OF THE RISKS ASSOCIATED WITH THE TRANSACTIONS THAT HE COMPLETED THROUGH RR'S OFFICE. RR MADE EVERY EFFORT TO NOT ONLY COMPLY WITH ALL OF THE REQUIREMENTS OF SECTION 1031 BUT TO EXCEED THEM IN ORDER TO MAKE SURE THAT THE CLIENT UNDERSTOOD THE PRODUCT. RR COULD NOT HAVE ANTICIPATED THE PROBLEMS THAT DEVELOPED DURING THE ECONOMIC CRISIS THAT AFFECTED THE COMMERCIAL REAL ESTATE BUSINESS AND GENERAL ECONOMY.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for THOMAS DIXON SANDERS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.