THOMAS TRACEY SHOUP

THOMAS TRACEY SHOUP is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 3050 PEACHTREE ROAD, NW, SUITE 600, ATLANTA, GA, 30305.

THOMAS TRACEY SHOUP has worked at RAYMOND JAMES & ASSOCIATES, INC. since May 11, 2012

Disclosure History

THOMAS TRACEY SHOUP has 2 Disclosure Event(s).

Date: May 07, 2012
Category: Employment Separation After Allegations
Firm Name: MORGAN STANLEY SMITH BARNEY
Termination Type: Voluntary Resignation
Allegations: MISUSE OF EMAIL

Date: February 18, 2009
Category: Customer Dispute
Allegations: SUITABILITY AND CHURNING 12/01/2007 - 01/25/2008
Broker Comment: THIS COMPLAINT WAS FILED BY TWO BROKERS AT SMITH BARNEY IN ANOTHER OFFICE AND INVOLVED ISSUES RELATING TO THEIR EMPLOYMENT WITH THE FIRM, AS WELL AS ALLEGATIONS CONCERNING A TRUST ACCOUNT I SERVICED THAT BELONGED TO ONE OF THEIR RELATIVES (NEITHER BROKER WAS THE BROKER ON THE ACCOUNT OR WAS THE TRUSTEE). THE COMPLAINT ALLEGING THESE SALES PRACTICE ISSUES WAS WITHDRAWN ABOUT A MONTH LATER WITH NO MONETARY SETTLEMENT BEING OFFERED BY SMITH BARNEY OR ME. I BELIEVE THAT THE COMPLAINT AGAINST ME WAS ENTIRELY WITHOUT MERIT AND I DENY ALL ALLEGATIONS OF WRONGFUL CONDUCT WITH RESPECT TO THAT ACCOUNT.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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