Thomas Bertram Guthrie of Spokane Washington, a stockbroker currently associated with Robert W. Baird & Co. Incorporated, is the subject of a customer initiated investment related written complaint on August 4, 2017, in which the customer requested $450,000.00 in damages supported by accusations that stock transactions were effected in the customer’s account which were not suitable for the customer, and that the customer’s account documentation did not properly convey the customer’s investment objective.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that on February 25, 2010, a customer initiated investment related written complaint involving Guthrie’s conduct was settled for $3,525,000.00 in damages based upon allegations of poor performance on auction rate securities executed in the customer’s account during the time that Guthrie was associated with Wells Fargo Investments, LLC.
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