THOMAS DAVID THOMSON is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 15 LAKE STREET, SUITE 140, SAVANNAH, GA, 31411.
THOMAS DAVID THOMSON has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since September 25, 2009
Disclosure History
THOMAS DAVID THOMSON has 3 Disclosure Event(s).
Date: August 12, 2009 Category: Customer Dispute Allegations: TIME FRAME: OCTOBER 17, 2006-AUGUST 12, 2009. THE CLIENT ALLEGES THAT HIS FINANCIAL ADVISOR PLACED HIGH RISK INVESTMENTS INTO HIS IRA WITHOUT HIS AUTHORIZATION. CLIENT FURTHER ALLEGES THAT THERE WERE AN EXTREME NUMBER OF TRANSACTIONS EXECUTED IN HIS ACCOUNT. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000. Damage Amount Requested: $5,000.00
Date: December 27, 1994 Category: Customer Dispute Allegations: CLAIMENTS ALLEGE UNSUITABILITY OF CERTAINSHORT SALES. DAMAGES ALLEGED IN THE AMOUNT OF $141,464 PLUSPUNITIVE DAMAGES AND COSTS. Damage Amount Requested: $141,464.00 Settlement Amount: $32,000.00 Broker Comment: THE FIRM ELECTRED TO SETTLE THE MATTER FOR$32,000 WITHOUT ADMISSION OF LIABILITY AND SOLELY TO AVOID THECOSTS OF LITIGATION. THE COSTS OF TRYING THE CASE WOULD HAVEEXCEEDED THE COST OF DEFENSE.THE REGISTRANT AND THE FIRM CONTINUE TO DENY ANYWRONGDOING. THE CLIENT CHOSE TO MAINTAIN A "SHORT AGAINST THEBOS" POSITION DESPITE NOTICE FROM THE REGISTRANT THAT SUCHPOSITIONS SHOULD BE COVERED.
Date: August 06, 1991 Category: Customer Dispute Allegations: LAWSUIT SOUGHT DAMAGES IN EXCESS OF $30,000ALLEGING VIOLATION OF SECTION 10-b AND RULE 10b-5 OF THESECURITIES EXCHANGE ACT OF 1934. Settlement Amount: $30,140.00 Broker Comment: PLAINTIFF'S COUNSEL SERVED A NOTICE OF INTENTIONTO ARBITRATE STATE LAW CLAIMS IN ADDITION TO FEDERAL LAWSUIT.THE CASE WAS SETTLED FOR $30,140 PRINCIPALLY TO AVOID THEEXPENSE OF LITIGATION WHICH WOULD HAVE APPROACHED IF NOTEXCEEDED THE AMOUNT IN CONTROVERSY.Not Provided
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