According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hartfield (Hartfield), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hartfield recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on July 18, 2024.
Customer alleges that an investment recommendations were unsuitable.