Thomas Samuel Lisk (also known as Thomas Samual Lisk and as Tom Lisk), of Bristol, Virginia, a stockbroker registered with Realta Equities Inc., formerly known as Center Street Securities Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $250,000.00 in damages based upon the alleged unsuitable investment recommendation of promissory notes during the time that Lisk was associated with Center Street Securities Inc. FINRA Arbitration No. 24-00138 (April 8, 2024).
FINRA Public Disclosure shows that Lisk is involved in eight other customer initiated investment related disputes concerning his conduct in the securities industry. Lisk is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $220,000.00 in damages based upon alleged unsuitable recommendations in alternative investments during the period that Lisk was associated with Center Street Securities Inc. FINRA Arbitration No. 22-02364 (February 5, 2024).
On February 5, 2024, a customer filed an investment related FINRA securities arbitration claim involving Lisk’s conduct in which the customer requested $110,000.00 in damages based upon alleged unsuitable advice about alternative investments. FINRA Arbitration No. 23-01668. Lisk is also referenced in a securities arbitration claim in which the customer requested $500,000.00 in damages based upon alleged unsuitable advice about alternative investments. FINRA Arbitration No. 23-00059 (February 5, 2024).
On March 1, 2024, a customer filed an investment related FINRA securities arbitration claim involving Lisk’s conduct in which the customer requested $100,001.00 in damages based upon alleged unsuitable investment recommendations. FINRA Arbitration No. 22-02945. Lisk is also referenced in a securities arbitration claim in which the customer requested $100,000.00 in damages based upon alleged unsuitable investment recommendations at Center Street Securities Inc. FINRA Arbitration No. 22-02725 (March 1, 2024).
On March 1, 2024, a different customer filed an investment related FINRA securities arbitration claim involving Lisk’s conduct in which the customer requested $200,000.00 in damages based upon alleged unsuitable investment advice. FINRA Arbitration No. 22-01937.
Lisk was associated with Center Street Securities Inc. in Bristol, Virginia from December 3, 2007, to September 21, 2023, as a stockbroker, and with Center Street Advisors Inc. from May 6, 2014, to July 13, 2023, as an investment advisor representative.
Since October 3, 2003, Lisk has been associated with Realta Equities Inc. in Bristol, Virginia as a stockbroker, and with Realta Investment Advisors Inc. as an investment advisor representative.
