WILLIAM CHARLES THOMPSON is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 20 MONTCHANIN ROAD, SUITE 280, GREENVILLE, DE, 19807.
WILLIAM CHARLES THOMPSON has worked at RAYMOND JAMES & ASSOCIATES, INC. since December 14, 1983
Disclosure History
WILLIAM CHARLES THOMPSON has 2 Disclosure Event(s).
Date: November 16, 2005 Category: Customer Dispute Allegations: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE** FAILURE TO SUPERVISE FA RELATING TO THEIR CUSTOMER COMPLAINT, WHICH HAD ALLEGED LOSSES OF $50,960.79 PRODUCT WAS MANAGED/WRAP ACCOUNTS. Damage Amount Requested: $50,960.79 Broker Comment: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE**
Date: May 03, 2004 Category: Customer Dispute Allegations: **SUITABILITY; OVER CONCENTRATION; BERACH OF FIDUCIARY DUTY; NEGLIGENCE/BREACH OF NASD AND NYSE RULES, BREACH OF CONTRACT AND BREACHOF DUTY; COMMON LAW FRAUD AND MISREPRESENTATION; VIOLATION OF THE GEORGIA SECURITEIS ACT OF 1973** CLAIMANT ALLEGES THAT BROKER'S RECOMMENDATIONS WERE UNSUITABLE AND OVER-CONCENTRATED IN AGGRESSIVE AND/OR SPECULATIVE STOCKS, OR RESULTED IN UNFAVORABLE TAX CONSEQUESNCES, RESULTING IN A LOSS OF OVER HALF OF HER PORTFOLIO. CLAIMANT SEEKS COMPENSATORY AND PUNITIVE DAMAAGE. Damage Amount Requested: $350,000.00 Settlement Amount: $200,000.00
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