THOMAS ALLAN TALCOTT is currently employed as a Broker and/or Investment Adviser at HORNOR, TOWNSEND & KENT, INC. located at 4404 S FLORIDA AV, #12, LAKELAND, FL, 33813.
THOMAS ALLAN TALCOTT has worked at HORNOR, TOWNSEND & KENT, INC. since July 11, 2014
Disclosure History
THOMAS ALLAN TALCOTT has 7 Disclosure Event(s).
Date: December 26, 2017 Category: Customer Dispute Allegations: The son of the deceased client and executor of the estate, stated that he acting as attorney in fact before his mother's death, advised the representative to add the beneficiaries and it was not done as requested. Consequently, the estate suffered probate expenses that it would not have, if beneficiaries had been name. Damage Amount Requested: $7,650.00
Date: May 05, 2014 Category: Judgment / Lien Judgment/Lien Amount: $8,787.32 Judgment/Lien Type: Tax Broker Comment: TOLD HTK OF UNREPORTED LIEN AS SOON AS WE GOT THAT REPORT IN JULY, 2015 I ASKED MY C.P.A FOR EXPLANATION. HE REPORTED THAT THE MAY LIEN WAS SUPPOSED TO HAVE BEEN FILED WITH LIENS IN 2011 FOR YEAR 2007. WE DO NOT KNOW HOW IT WAS NOT FILED AND UNTIL HTK NOTICE WE DID NOT KNOW. WE NOW HAVE CURRENT AND ACCURATE FILINGS.
Date: December 01, 2013 Category: Judgment / Lien Judgment/Lien Amount: $186,000.00 Judgment/Lien Type: Tax Broker Comment: MONTHLY CHECK TO IRS FOR $375.90 IS BEING APPLIED AS FEDERAL PAYMENT LEVY PROGRAM.
Date: August 08, 2011 Category: Judgment / Lien Judgment/Lien Amount: $46,489.00 Judgment/Lien Type: Tax Broker Comment: THIS AND TWO OTHER LIENS WERE PLACED IN MAY THROUGH AUGUST 2011 AS A RESULT OF A LONG AND DIFFICULT SERIES OF AUDITS. EVERY LIEN WAS REPORTED AT THE TIME AND I DON'T KNOW WHY THEY DO NOT APPEAR NOW. THIS WAS AND IS A VERY DIFFICULT AND PAINFUL TIME AND I DID FILE.
Date: July 06, 2011 Category: Judgment / Lien Judgment/Lien Amount: $65,448.00 Judgment/Lien Type: Tax Broker Comment: THIS AND TWO OTHER LIENS WERE PLACED IN MAY THROUGH AUGUST 2011 AS A RESULT OF A LONG AND DIFFICULT SERIES OF AUDITS. EVERY LIEN WAS REPORTED AT THE TIME AND I DON'T KNOW WHY THEY DO NOT APPEAR NOW. THIS WAS AND IS A VERY DIFFICULT AND PAINFUL TIME AND I DID FILE.
Date: May 18, 2011 Category: Judgment / Lien Judgment/Lien Amount: $29,732.00 Judgment/Lien Type: Tax Broker Comment: THIS AND TWO OTHER LIENS WERE PLACED IN MAY THROUGH AUGUST 2011 AS A RESULT OF A LONG AND DIFFICULT SERIES OF AUDITS. EVERY LIEN WAS REPORTED AT THE TIME AND I DON'T KNOW WHY THEY DO NOT APPEAR NOW. THIS WAS AND IS A VERY DIFFICULT AND PAINFUL TIME AND I DID FILE.
Date: August 24, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABILITY IN CONNECTION WITH MUTUAL FUNDS PURCHASED THROUGH PAS RR THOMAS TALCOTT. CLIENT ASKS TO BE MADE WHOLE. PAS' GOOD FAITH ESTIMATE OF ANY DAMAGES FROM THE ALLEGED CONDUCT IS OVER $5,000. Damage Amount Requested: $5,000.00 Settlement Amount: $9,909.00 Broker Comment: FOR BUSINESS REASONS, THE PARTIES AGREED TO SETTLE THE MATTER FOR $9,909 WITH NO ADMISSIONS OF LIABILITY. MR. TALCOTT CONTRIBUTED $2,500 TO THE SETTLEMENT.
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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