THOMAS WILLIAM SPUHLER

THOMAS WILLIAM SPUHLER is currently employed as a Broker and/or Investment Adviser at AMERITAS INVESTMENT CORP. located at 1400 OLD COUNTRY RD STE 407, WESTBURY, NY, 11590.

THOMAS WILLIAM SPUHLER has worked at AMERITAS INVESTMENT CORP. since May 19, 2014

Disclosure History

THOMAS WILLIAM SPUHLER has 2 Disclosure Event(s).

Date: February 28, 2009
Category: Financial
Type: Bankruptcy
Disposition: Discharged

Date: January 28, 2009
Category: Regulatory
Initiated By: STATE OF NEW YORK INSURANCE DEPARTMENT
Allegations: VIOLATION OF SECTION 2122(B) OF THE NEW YORK INSURANCE LAW
Resolution: Stipulation and Consent SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails:
Amount: $2,000.00

More Information

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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.

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