Articles Tagged with Brian Thomas

shutterstock_120556300-300x300According to BrokerCheck records financial advisor Brian Thomas (Thomas), currently employed by Harbor Financial Services, LLC (Harbor Financial) has been subject to at least six customer complaints during the course of his career.  According to records kept by The Financial Industry Regulatory Authority (FINRA), Thomas’ customer complaints allege that Thomas recommended unsuitable investments and securities among other allegations.

In July 2017 a customer filed a complaint alleging that Thomas violated the securities laws by, among other things, made unsuitable investments, excessive and unauthorized trading resulting in damages from April 2015 through March 2017. The claim settled for $15,000.

In September 2011 a customer filed a complaint alleging that Thomas violated the securities laws by, among other things, breaching his fiduciary duty, negligence, and breach of contract from 1996 through November 2011.  The claim alleged $100,000 in damages and resulted in a settlement of $75,000.

Continue Reading

Contact Information