THOMAS TERRANCE WALLACE

THOMAS TERRANCE WALLACE is currently employed as a Broker and/or Investment Adviser at FOLGER NOLAN FLEMING DOUGLAS INCORPORATED located at 725 15TH STREET N.W., WASHINGTON, DC, 20005-2109.

THOMAS TERRANCE WALLACE has worked at FOLGER NOLAN FLEMING DOUGLAS INCORPORATED since November 28, 2014

Disclosure History

THOMAS TERRANCE WALLACE has 1 Disclosure Event(s).

Date: May 21, 2009
Category: Customer Dispute
Allegations: LACK OF SUPERVISION OVER PURCHASES OF CMO'S IN 2005, 2006 AND 2007.
Damage Amount Requested: $1,046,600.00 Damages Granted: $175,000.00 09-02769

Errors or Outdated Information?

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

OTHER BROKERS IN DC WITH DISCLOSURE EVENTS

To view the full report for THOMAS TERRANCE WALLACE, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.

BrokerSearch Removal