Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Underwood (Underwood), previously associated with Cary Street Partners, has at least one disclosable event. These events include one customer complaint, alleging that Underwood recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,875,581.20 on October 08, 2025.
Investment losses from aggressive trading including options, during the period June 2023 through May 2024.