Customer Files Suit Against First Allied Securities, Patricia Thom Patricia Carol Thom (CRD#: 1192935, San Luis Obispo, California) is a prior registered representative of First Allied Securities, Inc. According to Thom’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck file, at least twelve customers have contested Thom’s sales practices. Specifically, customers’ claims against Thom, including those summarized […]

Customer Alleges First Allied Sold Unsuitable Alternative Investments Douglas Keith Hyer (CRD#254358, Great Neck, New York), who has been a registered representative of First Allied Securities, Inc. since January 31, 2013, disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that he has been named in a customer-initiated investment-related written complaint dated April 21, 2018, in […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Michael John Woods (CRD #1884701, Registered Principal, Dexter, Michigan) was fined $20,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]