THOMAS JOSEPH SHEEHAN is currently employed as a Broker and/or Investment Adviser at WILEY BROS.-AINTREE CAPITAL, LLC located at 40 BURTON HILLS BLVD, SUITE 350, NASHVILLE, TN, 37215.
THOMAS JOSEPH SHEEHAN has worked at WILEY BROS.-AINTREE CAPITAL, LLC since November 08, 1995
Disclosure History
THOMAS JOSEPH SHEEHAN has 2 Disclosure Event(s).
Date: October 09, 1996 Category: Regulatory
Date: November 01, 1995 Category: Employment Separation After Allegations Firm Name: PAINE WEBBER INC. Termination Type: Discharged Allegations: N/AMAKING TWO UNAUTHORIZED TRADES ON BEHALF OF ACUSTOMER IN A NON-DISCRETIONARY ACCOUNT. Broker Comment: NO CUSTOMER COMPLAINT HAS BEEN FILEDWHEN SHE OPENED HER ACCOUNT, THE CUSTOMERINSTRUCTED ME THAT, BECAUSE SHE TRAVELED ALOT, IF I EVER HADTROUBLE REACHING HER BY TELEPHONE I WAS TO REACH HER BYTELEPHONE SEVERAL TIMES (SHE WAS TRAVELING OUT OF THE COUNTRY),I LIQUIDATED HER POSITIONS IN PLAYTEX INC. AND DIGITALEQUIPMENT. THE PRICE OF BOTH STOCKS DROPPED AFTER THESE TRADES.WHEN SHE RETURNED TO TOWN SHE CALLED TO ASK ABOUT THESE TRADES;SHE SEEMED PLEASED WITH THE DIGITAL TRADE BUT ASKED THAT IRECONFIRM THE PLAYTEX TRADE WITH NO COMMISSION, WHICH I DID.SHE DID NOT WISH TO CANCEL THE TRANSACTIONS AND DID NOT FILE ACOMPLAINT. I WROTE HER A LETTER TO DOCUMENT WHAT HAD OCCURRED,AND WAS FIRED BY MY BRANCH MGR. WHEN HE REVIEWED THE LETTER.
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