Dexter Leroy Thomas of Dallas, TX, a stockbroker registered with National Planning Corporation, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $40,000.00 in damages based upon allegations that Thomas failed to supervise certain registered representatives, whom were negligent, or made unsuitable recommendations, breached their fiduciary duties, and…
Dexter Leroy Thomas of Dallas Texas a former United Planners Financial Services of America stockbroker is the subject of a customer initiated investment related arbitration claim which was resolved for $256,250.00 in damages based upon accusations that a fiduciary duty that was owed to the customer had been breached by Thomas and that transactions were…
Dexter Leroy Thomas of Dallas Texas a stockbroker formerly employed by United Planners’ Financial Services of America A Limited Partner has been discharged from employment on August 2, 2018 supported by allegations that (1) Thomas maintained a number of private investments and loans with customers of United Planners’ Financial Services of America wherein those investments…
Dexter Leroy Thomas of Dallas Texas a stockbroker formerly employed by National Planning Corporation is referenced in a customer initiated investment related arbitration claim where the customer sought $94,352.90 in damages founded on accusations including (1) breach of fiduciary (2) negligence (3) suitability (4) violation of Texas Securities Act and (5) violation of FINRA rules…