Thomas Patrick Haugh, of Chicago, Illinois, a stockbroker, commodity futures broker and securities principal currently registered with PTI Securities & Futures L.P., is the subject of a customer initiated investment related arbitration claim, in which the customer sought $2,500,000.00 in damages supported by allegations that the customer’s investment account failed to be managed properly. Case No. 17-01171 (May 11, 2017).
The customer alleged that her account was mismanaged between 2005 and 2016 in reference to options, derivative as well as preferred or common stock transactions effected in the customer’s investment account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Haugh has been suspended from associating with any National Association of Securities Dealer (NASD) member in any capacity supported by his failure to pay an arbitration award. Case No. 09-02978 (Jan. 13, 2017).
Guiliano Law Group
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