To resolve allegations that he failed to respond to a FINRA regulatory investigation related to borrowing money from customers, Thomas A. Oliphant of Waxahachie, TX, was assessed a deferred fina of $5,000 and suspended for 30 days.
According to the Letter of Acceptance Waiver and Consent filed in the matter Oliphant was discharged by JHS Capital Advisors in March 2014 reporting that Oliphant was discharged for “violating company policy regarding taking loans from customers.”
If Mr. Oliphant handled your account and you suffered losses contact us to discuss your legal options.
Rex Securities Law provides nationwide representation to investors seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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