Paloma Hula Thom at VANGUARD MARKETING CORPORATION – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 7488857
Paloma Hula Thom is an Investment Adviser, associated with VANGUARD MARKETING CORPORATION located at CHARLOTTE, NC. Paloma Thom’s Central Registration Depository (CRD) number is 7488857 and the FINRA Profile can be found at –

Disclosure #1 for Paloma Thom

    • Event Date: 11/15/2016
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: MAN DEL CS PG 2 or 2-A < 1G
    • Disposition: Dismissed

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Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Paloma Hula Thom’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About Paloma Hula Thom

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Where can I find more details about Paloma Thom's Investment Firm?

Visit to read a detailed report for VANGUARD MARKETING CORPORATION

Are there any disclosures, allegations or complaints filed against Paloma Hula Thom?

Yes. There are disclosures, allegations, or complaints filed against Paloma Hula Thom. Click here to view all details

Where can I download a detailed FINRA report for Paloma Thom?

Click here to download a detailed FINRA report for Paloma Thom

Is it safe to do business with Paloma Hula Thom?

We’re not sure. Please research Paloma Thom’s disclosures, allegations and complaints before taking a decision

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Originally reported on November 17, 2022 @ 9:07 pm

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