THOMAS JOSEPH POWERS at RAYMOND JAMES & ASSOCIATES, INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1425367
THOMAS JOSEPH POWERS is an Investment Adviser, associated with RAYMOND JAMES & ASSOCIATES, INC. located at ST. PETERSBURG, FL. THOMAS POWERS’s Central Registration Depository (CRD) number is 1425367 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for THOMAS POWERS

    • Event Date: 9/22/2003
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Denied
    • Disclosure Detail :: Allegations: CUSTOMER ALLEGES HIS PURCHASES OF NORTHWESTERN CORPORATION STOCK, BEGINNING IN 2002, WERE UNSUITABLE. CUSTOMER EXTENSIVELY RESEARCHED THE STOCK IN QUESTION, PURCHASED AN ADDITIONAL 2,400 SHARES, AND AFFIRMATIVELY ACKNOWLEDGED AND ACCEPTED THE RISK ASSOCIATED WITH THE INVESTMENT EVEN AFTER I HAD RECOMMENDED THAT HE SELL THE ORIGINAL 200 SHARES PURCHASED.
    • Damage Amount Requested: $12,566.20
    • Broker Comment: WILLIAM R. HOUGH & CO. SENT THEIR RESPONSE TO THE SEC, WITH A COPY TO THE CUSTOMER, ON SEPTEMBER 29, 2003.

Disclosure #2 for THOMAS POWERS

      • Event Date: 10/29/1993
      • Disclosure Type: Employment Separation After Allegations
      • Disclosure Resolution:
      • Disclosure Detail :: Firm Name: FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
      • Termination Type: Discharged
      • Allegations: N/A UNDER INTERNAL REVIEW AT FIRST OF PHILADELPHIA INVESTMENT GROUP INC
      • Broker Comment: THE MATTER WAS INVESTIGATED BY THE NASD AND IT WAS DETERMINED THAT NO ACTION AGAINST ME WAS WARRANTED. THE MATTER WAS CLOSED BY THE NASD. SEE ATTACHED LETTER DATED MAY 12, 1994 FROM DAVID E PAULUKATIS OF THE NASD. Not Provided

Disclosure #3 for THOMAS POWERS

      • Event Date: 10/29/1993
      • Disclosure Type: Employment Separation After Allegations
      • Disclosure Resolution:
      • Disclosure Detail :: Firm Name: FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
      • Termination Type: Discharged
      • Allegations: N/A UNDER INTERNAL REVIEW AT FIRST OF PHILADELPHIA INVESTMENT GROUP INC
      • Broker Comment: THE MATTER WAS INVESTIGATED BY THE NASD AND IT WAS DETERMINED THAT NO ACTION AGAINST ME WAS WARRANTED. THE MATTER WAS CLOSED BY THE NASD. SEE ATTACHED LETTER DATED MAY 12, 1994 FROM DAVID E PAULUKATIS OF THE NASD. Not Provided


Should I file a FINRA complaint against brokers like THOMAS JOSEPH POWERS?

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 JOSEPH POWERS’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 JOSEPH POWERS

What is THOMAS POWERS's Central Registration Depository (CRD) Number?

1425367

Which firm is THOMAS JOSEPH POWERS associated with?

RAYMOND JAMES & ASSOCIATES, INC.

Where is THOMAS POWERS located?

200 Central Avenue, ST. PETERSBURG, FL, 33701

Where can I find more details about THOMAS POWERS's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/705 to read a detailed report for RAYMOND JAMES & ASSOCIATES, INC.

Are there any disclosures, allegations or complaints filed against THOMAS JOSEPH POWERS?

Yes. There are disclosures, allegations, or complaints filed against THOMAS JOSEPH POWERS. Click here to view all details

Where can I download a detailed FINRA report for THOMAS POWERS?

Click here to download a detailed FINRA report for THOMAS POWERS

Is it safe to do business with THOMAS JOSEPH POWERS?

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


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