Public records published by the Financial Industry Regulatory Authority (FINRA) on February 3, 2017 indicate that North Carolina-based Thompson Davis & Company broker/adviser Charles Obryant has been the subject resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Obryant (CRD# 870530).
Charles Obryant has spent 37 years in the securities industry and has been registered with Thompson Davis & Company in Raleigh, North Carolina since March 2016. Previous registrations include Stifel Nicolaus & Company in Raleigh, North Carolina; Powell Johnson in Nashville, Tennessee; Legg Mason Wood Walker in Baltimore, Maryland; Thomson McKinnon Securities in New York, New York; Carolina Securities Corporation; EF Hutton & Company; and Smith Barney Harris Upham & Company. He is a registered broker and investment adviser with three US states: North Carolina, South Carolina, and Virginia.
According to his BrokerCheck report, Charles Obryant has received one customer complaint and one pending customer complaint, and was recently terminated from a former employer.
In December 2016 a customer alleged Charles Obryant, while employed at Stifel Nicolaus & Company, acted negligently, made unsuitable investment recommendations, violated FINRA rules 2020 and 2230, violated North Carolina’s blue sky law, breached his fiduciary duty, and breached contract. The customer is seeking $200,000 in damages in the pending complaint.
In January 2016 he was terminated from his position at Stifel Nicolaus following allegations involving a “Loss of confidence after settlement of complaint.”
In October 2015 a customer alleged Charles Obryant, while employed at Stifel Nicolaus & Company, recommended unsuitable products, breached his fiduciary duty, and acted negligently. The complaint settled for $632,298.
If you or someone you know has complaints regarding Charles Obryant, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.