RedFlag, Allegation and/or Complaint against TRACY LOUISE GIST-THAMES
Disclosure #1 for TRACY GIST-THAMES
- Event Date: 7/15/2015
- Disclosure Type: Financial
- Disclosure Resolution: Final
- Disclosure Detail :: Type: Compromise
- Disposition: Satisfied/Released
- Broker Comment: GOT BEHIND ON A CREDIT CARD. I OWE $8673.56. MADE AN AGREEMENT TO PAY 3300.00 ON 07/30/2015 AND 3300.00 ON 08/30/2015.
Should I file a FINRA complaint against brokers like TRACY LOUISE GIST-THAMES?
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.
Frequently Asked Questions About TRACY LOUISE GIST-THAMES
What is TRACY GIST-THAMES's Central Registration Depository (CRD) Number?
Which firm is TRACY LOUISE GIST-THAMES associated with?
Where is TRACY GIST-THAMES located?
Where can I find more details about TRACY GIST-THAMES's Investment Firm?
Are there any disclosures, allegations or complaints filed against TRACY LOUISE GIST-THAMES?
Where can I download a detailed FINRA report for TRACY GIST-THAMES?
Is it safe to do business with TRACY LOUISE GIST-THAMES?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.