THOMAS HANS UNDERDAHL is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 50 Portland Pier, Suite 200, Portland, ME, 04101.
THOMAS HANS UNDERDAHL has worked at JANNEY MONTGOMERY SCOTT LLC since May 05, 2016
Disclosure History
THOMAS HANS UNDERDAHL has 4 Disclosure Event(s).
Date: January 10, 2006 Category: Customer Dispute Allegations: CUSTOMER ALLEGED MR. UNDERDAHL FAILED TO DISCLOSE THE RISKY NATURE OF HER MUTUAL FUND INVESTMENT. Damage Amount Requested: $50,000.00 Settlement Amount: $45,000.00
Date: March 24, 2004 Category: Regulatory
Date: April 02, 2002 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGED UNSUITABLE RECOMMENDATIONS AND POOR PERFORMANCE OF MUTUAL FUNDS. Damage Amount Requested: $129,779.00 Settlement Amount: $50,000.00 02-02183
Date: November 01, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGED UNSUITABLE SECURITIES WERE PURCHASED FOR HIS ACCOUNT. Damage Amount Requested: $160,000.00 Settlement Amount: $18,000.00
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