{"id":7613,"date":"2019-01-22T11:43:07","date_gmt":"2019-01-22T16:43:07","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7613"},"modified":"2019-01-24T10:35:21","modified_gmt":"2019-01-24T15:35:21","slug":"broker-dexter-thomas-dies-leaving-9-2m-in-customer-claims","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-dexter-thomas-dies-leaving-9-2m-in-customer-claims\/","title":{"rendered":"Broker Dexter Thomas Dies Leaving $9.2M In Customer Claims"},"content":{"rendered":"

Dexter Leroy Thomas (CRD #1074222<\/a>) is a formerly registered broker and investment advisor who was last employed with United Planners’ Financial Services Of America A Limited Partner (CRD #20804) of Dallas, TX. His previous employers include LPL Financial LLC (CRD #6413), National Planning Corporation (CRD #29604) and Invest Financial Corporation (CRD #12984), all of Dallas. \u00a0He began in the industry in 1983, and passed away on August 4, 2018<\/a>.<\/p>\n

\"FINRA-Permanently-Bars-Barry-Hartman-From-Securities-Activity-for-Alleged-\u201cSelling-Away\u201d-Activities-300x209\"Two days before his death, United Planners discharged Thomas after he revealed to the firm that he had engaged in \u201cselling away,\u201d privately borrowing money and making investment arrangements with several individuals outside of the firm\u2019s auspices. Many of these individuals later became customers of United Planners. Thomas revealed that he conducted these transactions without notifying the firm, and the firm promptly terminated his employment.<\/p>\n

The first of a total of fifteen claims was filed on 7\/31\/2018, just two days before his discharge from United Planners. The last claim was filed on 9\/23\/2018. These claims alleged either \u201cunsuitable investments\u201d <\/em>or detailing monies borrowed but not returned without the firm\u2019s knowledge or approval. Of the fifteen claims listed in BrokerCheck<\/a>, eight request financial damages from $22,000 to $8.1 million, for a total of $9,260,000. These claims are all listed as \u201cpending.\u201d<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Dexter Leroy Thomas (CRD #1074222) is a formerly registered broker and investment advisor who was last employed with United Planners’ Financial Services Of America A Limited Partner (CRD #20804) of Dallas, TX. His previous employers include LPL Financial LLC (CRD #6413), National Planning Corporation (CRD #29604) and Invest Financial Corporation (CRD #12984), all of Dallas. […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[725,609,584,580,576],"tags":[1434,1460,1359,97,1459,1433],"class_list":["post-7613","post","type-post","status-publish","format-standard","hentry","category-breach-of-fiduciary-duty","category-sales-practice-violations","category-selling-away","category-stockbroker-misconduct","category-unsuitable-investment-advice","tag-dexter-thomas","tag-dexter-thomas-united-planners-financial-services-of-america","tag-finra-arbitration-lawyer","tag-selling-away","tag-united-planners-financial-services-of-america","tag-unsuitable-investments"],"yoast_head":"\nBroker Dexter Thomas Dies Leaving $9.2M In Customer Claims — Securities Arbitration Lawyers Blog — January 22, 2019<\/title>\n<meta name=\"description\" content=\"Dexter Leroy Thomas (CRD #1074222) is a formerly registered broker and investment 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