Thomas Austin Appleton at EDWARD JONES – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1888517
Thomas Austin Appleton is an Investment Adviser, associated with EDWARD JONES located at LAURENS, SC. Thomas Appleton’s Central Registration Depository (CRD) number is 1888517 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for Thomas Appleton

    • Event Date: 2/8/2010
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: PLAINTIFFS CLAIM THE DECEDENT DID NOT HAVE THE MENTAL CAPACITY TO TRANSFER HIS PROFIT SHARING PLAN INTO AN EDWARD JONES IRA ON WHICH X WAS THE BENEFICIARY. PLAINTIFFS ALLEGE AGAINST EDWARD JONES AND MR. APPLETON NEGLIGENCE, BREACH OF FIDUCIARY DUTY, AIDING AND ABETTING BREACH OF FIDUCIARY DUTY, AND CIVIL CONSPIRACY. (AMOUNT CLAIMED: UNSPECIFIED, PLUS COSTS, INTERESTS, ATTORNEY’S FEES AND PUNITIVE DAMAGES.)
    • Settlement Amount: $10,000.00
    • Arbitration Docket Number:
    • Broker Comment: RELEASE AND SETTLEMENT REACHED SOLELY DISMISSING DEFENDANTS EDWARD D. JONES & CO., L.P., AND (FA) TOM APPLETON IN RETURN FOR $10,000 PAYMENT TO CLAIMANTS.


Should I file a FINRA complaint against brokers like Thomas Austin Appleton?

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 Thomas Austin Appleton’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 Thomas Austin Appleton

What is Thomas Appleton's Central Registration Depository (CRD) Number?

1888517

Which firm is Thomas Austin Appleton associated with?

EDWARD JONES

Where is Thomas Appleton located?

101 ASHLEY LANE, LAURENS, SC, 29360

Where can I find more details about Thomas Appleton's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/250 to read a detailed report for EDWARD JONES

Are there any disclosures, allegations or complaints filed against Thomas Austin Appleton?

Yes. There are disclosures, allegations, or complaints filed against Thomas Austin Appleton. Click here to view all details

Where can I download a detailed FINRA report for Thomas Appleton?

Click here to download a detailed FINRA report for Thomas Appleton

Is it safe to do business with Thomas Austin Appleton?

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


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