Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Pandolph (Pandolph), previously associated with Allegheny Investments, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Pandolph recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on April 12, 2022.
Client emailed Tom on 4/12/2022 stating that she was very disappointed in his decision to move all her money into something she didn’t approve. She made it known that she didn’t want risk but felt he moved her entire amount into something risky. She also stated that she lost over 10k over the past 3 years.