Neal Thompson (CRD #: 5252962), a broker and investment adviser registered with Harbour Investments, in Scottsdale, Arizona, is involved in an investor dispute over an alleged breach of fiduciary duty, according to his BrokerCheck record, accessed January 26, 2021.

Broker fraud: Neal Thompson allegations

On December 30, 2020, an investor alleged that Thompson breached his fiduciary duty and had engaged in negligence when he recommended complex, alternative investments. The investor is seeking $150,000; the dispute is pending.

Neal Thompson has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in 15 states and a registered investment adviser in Arizona.

Neal Thompson has 13 years of experience in the securities industry and has registered with four firms:

  • Harbour Investments (CRD #: 19258)
  • Cambridge Investment Research Advisors (CRD #: 134139)
  • Cambridge Investment Research (CRD #: 39543)
  • ING Financial Partners (CRD #: 2882)

If Neal Thompson was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

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