THOMAS EARL VAUGHAN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1190 SARATOGA AVE., SUITE 140, SAN JOSE, CA, 95129.
THOMAS EARL VAUGHAN has worked at LPL FINANCIAL LLC since October 06, 2015
Disclosure History
THOMAS EARL VAUGHAN has 2 Disclosure Event(s).
Date: June 13, 2016 Category: Regulatory
Date: February 23, 1988 Category: Criminal Charges: THE CITY LIBRARIAN PRESSED CHARGES THAT I HADTRIED TO TAKE A $3.50 VALUE CENSUS TRACK MAP. Disposition: CHARGE DISMISSED Broker Comment: I WAS AT THE SAN JOSE CITY LIBRARY DOING SOMERESEARCH ON A BUSINESS PLAN. I WAS GATHERING DATA FROM THEU.S. CENSUS. AND WHEN I PREPARED TO LEAVE I HAD MISTAKENLYPLACED A $3.50 CENSUS TRACK MAP IN THE PILE OF COPIES I HADMADE. WHEN I TRIED TO LEAVE THE ALARM WENT OFF. I IMMEDIATELYRETURNED THE MAP BUT THE LIBRARIAN DECIDED TO PRESS CHARGES.THE ARRESTING OFFICER TOLD ME THAT HE BELIEVED ME, AFTER HEFOUND OUT I HAD A MAP LIKE THIS AT HOME ALREADY, AND HE TRIEDTO TALK THE LIBRARIAN OUT OF PRESSING CHARGES TO AVOID THEDISTRICT ATTORNEY DISMISSED THE CHARGE IMMEDIDATELY.
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