Did you lose money with Lawrence Thomas, a former registered broker with Woodbury Financial? If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about those losses. Please call our Chicago-based law firm at 312-332-4200 to speak to an attorney. We take cases on a contingency fee basis only, so we only receive money if you recover yours. The call is free with no obligation. We sue firms like Woodbury Financial in the Financial Industry Regulatory Authority (FINRA) arbitration forum.
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with FINRA, Lawrence Thomas was accused of directing his assistant to forge the signatures of three firm customers on 10 documents. For this, he was fined $5,000 and suspended for three months. He was also accused of recommending an unauthorized product to Woodbury customers. Thomas then failed to appear for his on-the-record testimony with FINRA, and was subsequently barred from the industry.
According to his online FINRA BrokerCheck report, Thomas was registered with Carillon Investments, Hornor, Townsend & Kent, Sun Investment Services, Royal Alliance Associates, Woodbury Financial Services in North Attleboro, Massachusetts from January 2005 until January 2013, Brooklight Place Securities and Essex Securities. He is currently not registered and has been barred from the industry.
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