THOMAS CRESAP SWIGERT is currently employed as a Broker and/or Investment Adviser at HD VEST INVESTMENT SERVICES located at 505 CHICAGO AVENUE, EVANSTON, IL, 60202.
THOMAS CRESAP SWIGERT has worked at HD VEST INVESTMENT SERVICES since September 01, 1987
Disclosure History
THOMAS CRESAP SWIGERT has 2 Disclosure Event(s).
Date: October 13, 2015 Category: Customer Dispute Allegations: The client alleged poor performance of her account over the last two months. Damage Amount Requested: $60,000.00
Date: October 05, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE MUTUAL FUND SHE PURCHASED WAS NOT SUITABLE. SHE ALSO ALLEGED THAT HER REPRESENTATIVE INDICATED THAT THERE WOULD BE NO COST TO HER TO PURCHASE THE FUND Damage Amount Requested: $22,837.00 Broker Comment: UPON CONCLUSION OF INVESTIGATION, NO WRONG DOING WAS FOUND TO BE DONE BY THE REPRESENTATIVE.
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.
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