Thomas Harry Eades of Dallas Texas a stockbroker formerly registered with RBC Capital Markets LLC is the subject of a customer initiated investment related written complaint on March 29, 2018 in which the customer sought damages estimated to exceed $5,000.00 based upon allegations that (1) Eades over-concentrated the customer in energy sector master limited partnerships and (2) inappropriately advised the customer to hold equities after dividends had been reduced causing the customer to sustain losses.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on February 13, 2018, a customer filed an investment related arbitration claim concerning Eades’ activities where the customer requested $180,000.00 in damages founded on accusations that from 2015 to 2017, while Eades was associated with RBC Capital Markets, LLC, Eades failed to invest the customer’s assets in a manner that reflected the customer’s objectives for investing.
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