November 2020- Pittsburg, PA
According to publicly available records Keith Thomas Lohm, Sr. (CRD#1516728), a former stockbroker who last worked for Citizens Securities, Inc., discloses a termination from employment.
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.
In October 2019, Lohm was discharged by his employer, Citizens Securities, Inc. after allegations of violations of bank policy when he reused a client’s signature instead of getting the client to actually sign the document.
Lohm worked with Citizens Securities, Inc. from April 2018 until November of 2019. Before that he was with LPL Financial, Cetera Investment Services, OBS Brokerage Services, Inc., Nationwide Securities, and World Capital Brokerage.
If you had an account with Keith Lohm that suffered losses, you may be entitled to collect damages from his prior employer. 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