Tom Phillips – Financial Advisor/Broker Tom Phillips Fined by State of Oklahoma | Goodman & Nekvasil P.A., May Recover Investor Losses
Tom Phillips CRD #843039
Tom Phillips is a licensed financial advisor with T.S. Phillips Investments, Inc. According to Tom Phillips’ CRD, Tom Phillips was fined by the State of Oklahoma.
According to Allegations from the State of Oklahoma:
Alleges unethical practices by not supervising that transactions in a client’s IRA nor disclosing that they would not be determining whether the investments purchased were suitable.
According to Tom Phillips’ CRD:
A customer dispute has been filed alleging sales practice violations against Tom Phillips.
Customer Dispute 4/10/17: Customer alleges unsuitable investments and breach of fiduciary duties. This customer dispute was settled for $500,000.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Tom Phillips and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Tom Phillips’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Tom Phillips and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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