Thomas Howard Oliphint, of San Antonio, Texas, a stockbroker registered LPL Financial LLC, has been fired on November 28, 2016, based on allegations that engaged in outside business activities that were not approved by the company.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Oliphint has been identified in two customer initiated investment related disputes pertaining to allegations of misconduct while registered with MML Investor Services Inc. Apparently, a customer initiated investment related complaint concerning Oliphant was filed on March 20, 2003, wherein the customer sought $12,178.00 in damages based on accusations of excessive fees regarding purchases of class B share of mutual funds. Another customer initiated investment related complaint involving Oliphant’s excessive fee charging was filed on October 26, 2005, where the customer requested $10,800.00 in damages.
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