Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 3, 2017 indicate that Virginia-based Davenport & Company broker/adviser R. Thomas Edwards Jr. has been discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Edwards (CRD# 872729).
R. Thomas Edwards has spent 37 years in the securities industry and has been registered with Davenport & Company in Norfolk, Virginia since January 2017. Previous registrations include UBS Financial Services in Norfolk, Virginia (1995-2017) and Kidder Peabody & Company in New York, New York (1979-1995). He is a registered broker and investment adviser with eighteen US states and territories and has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); and Series 7 (General Securities Representative Examination).
According to his BrokerCheck report, R. Thomas Edwards has been terminated from a former employer.
In December 2016 R. Thomas Edwards was terminated from UBS Financial Services “after an internal review found policy violations in connection with his trading practices in certain client accounts.” According to a January report published by Advisor Hub, “The trading allegations involved at least one elderly client, according to a source familiar with the event.”
If you or someone you know has lost money investing with R. Thomas Edwards, Jr. call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.