Thomas Earl Wilkinson III of Mesa Arizona a stockbroker formerly registered with J.P. Turner Company LLC is the subject of a customer initiated investment related arbitration claim which was resolved for $32,500.00 in damages supported by accusations that the customer was placed in unsuitable corporate debt products including Puerto Rico bonds and Brogdon bonds. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-01525 (Nov. 7, 2017).
FINRA Public Disclosure additionally reveals that on August 19, 2014, a customer initiated investment related arbitration claim involving Wilkinson’s conduct was settled for $14,999.00 in damages based upon allegations that while Wilkinson was associated with J.P. Turner Company LLC: fiduciary duties owed to the customer had been breached; transactions effected in the customer’s account were handled negligently and were not suitable for the customer; misrepresentations had been made to the customer concerning real estate securities; and activities of Wilkinson or the firm ran afoul of National Association of Securities Dealers (NASD) conduct rules and Michigan Uniform Securities Act. FINRA Arbitration No. 13-01504 (Aug. 19, 2014).
Wilkinson’s registration with J.P. Turner Company LLC has been terminated as of October 23, 2015. Since October 22, 2015, he has been employed by LaSalle St. Securities LLC. Since August 16, 1983 Wilkinson has been associated with fifteen different broker dealers, ten of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
