October 2017-San Antonio, TX
We are currently investigating Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for violation of firm policy regarding outside business activities in 11/2016. .
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Oliphint’s FINRA record discloses 2 prior customer disputes that were either denied or closed.
Oliphint’s prior securities industry employment includes, MML Investor Services and New England Securities. He discloses business affiliation Grand Purpose Advocate.
If you have questions about an account handled by Thomas H. Oliphint, call to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are 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.
Florida-561 391 1900