Thomas Patrick Haugh, of Chicago, Illinois, a stockbroker, commodity futures broker and securities principal currently registered with PTI Securities & Futures L.P., is the subject of a customer initiated investment related arbitration claim, in which the customer sought $2,500,000.00 in damages supported by allegations that the customer’s investment account failed to be managed properly. Case No. 17-01171 (May 11, 2017).

The customer alleged that her account was mismanaged between 2005 and 2016 in reference to options, derivative as well as preferred or common stock transactions effected in the customer’s investment account.

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Haugh has been suspended from associating with any National Association of Securities Dealer (NASD) member in any capacity supported by his failure to pay an arbitration award. Case No. 09-02978 (Jan. 13, 2017).

Guiliano Law Firm

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

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