DID THOMAS A VIGIL CAUSE YOU INVESTMENT LOSSES?
Thomas Vigil was recently fired from Infinity Financial Services following allegations of document alteration related to the purchase of a security, submitted without the client’s knowledge.
Who is Thomas Vigil formerly with Infinity Financial Services?
Thomas Vigil (CRD #3269058) who was formerly registered as a broker with Infinity Financial Services and located in Saunderstown Rhode Island, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Thomas Vigil Employment History and Termination
Thomas A. Vigil has been in the securities industry for over two decades, working for several firms, including Infinity Financial Services (2014–2024), Signator Investors, Inc. (2013–2014), and MetLife Securities, Inc. (2002–2014). Vigil’s career includes roles as a registered representative and financial advisor.
He passed three general industry/product exams and three multi-state securities law exams but holds no principal or supervisory certifications.
He has faced regulatory actions, customer disputes, and terminations during his career, including a suspension by FINRA in 2016 for misconduct.
His most recent termination was on November 8, 2024, from Infinity Financial Services, after a client alleged that documents were altered and submitted without their knowledge. This incident followed a history of regulatory and client-related issues during Vigil’s career.
Previously, Vigil was discharged from Signator Investors, Inc. in 2014 after failing to cooperate with an investigation into allegations of forging client documents.
Negative Disclosures Summary
- Regulatory Action: July 18, 2016
- Details: FINRA suspended Vigil for six months and fined him $7,500 after he admitted to impersonating a client, altering documents without consent, and initially denying the misconduct.
- Outcome: Suspension and fine.
- Customer Dispute 1:
- Date: May 7, 2014
- Details: A client alleged that Vigil altered a form without authorization to effect a transaction.
- Outcome: Settled for $10,663.
- Customer Disputes Denied
- Dates: Multiple incidents between 2006 and 2017
- Details: Clients alleged misrepresentation of annuity products and inappropriate transactions.
- Outcome: Complaints were denied or dismissed after investigations.
- Terminations:
- Infinity Financial Services (2024): Discharged following client allegations of document alteration.
- Signator Investors, Inc. (2014): Discharged after allegations of forgery and failure to cooperate with the firm’s investigation.
Allegations and Accusations
- Thomas A. Vigil’s career includes regulatory sanctions, customer disputes, and two terminations.
- Allegations involve document falsification, misrepresentation, and unauthorized actions on client accounts.
- Vigil’s 2016 suspension by FINRA and multiple customer disputes highlight significant concerns.
Thomas Vigil Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Thomas Vigil is a red flag which should put all current and former customers of Thomas Vigil at Infinity Financial Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Vigil engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Infinity Financial Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Infinity Financial Services Due To Thomas Vigil
If you have questions about Infinity Financial Services and/or Thomas Vigil and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
Rate this Post
Loading...