Erez Law is interested in speaking with investors who may have suffered losses due to investments with Concourse Financial Group Securities, Inc. broker Thomas Lopshire (CRD# 2532500). He has been registered with Concourse Financial Group Securities, Inc. in San Mateo, California, since 2009.
In October 1999, the California Department of Corporations issued a cease and desist injunction related to his sale of “promissory notes issued by First Lenders Indemnity Corporation of Florida, Boston acceptance company, dba First Lenders Indemnity Company of California, Jonathon Pierpont Boston, fka Fohn R. Marsella, Shirley Faino, fka Shirley Marsella, and/or Jim Cunningham. The Department of Corporations has determined that such promissory notes are securities for which no exemption from qualification applies, and that the issuance of such order/orders is in the public interest.”
Thomas Lopshire Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
October 2022. “Client alleges that registered representative made a poor recommendation regarding a mutual fund investment.” The customer is seeking $250,000 in damages, and the case is currently pending. The complaint took place while he was registered with Concourse Financial Group Securities, Inc., and it was regarding mutual fund losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Concourse Financial Group Securities, Inc. may be liable for investment or other losses suffered by Thomas Lopshire’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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