According to a recent Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA), Thomas A. Vigil was accused of impersonating a customer on a call to an insurance company in order to obtain an annuity surrender form, falsifying the same customer’s rollover request form, and forging a second customer’s signature on a change of broker-dealer form. This is against securities rules and regulations. In October 2012, Vigil allegedly called another insurance company and falsely identified himself as a customer to obtain an annuity surrender form. In January 2014, Vigil falsified a rollover form for a customer by whiting out the date on an earlier, validly signed form and writing in the current date. This is also against securities rules and regulations. For this he was fined $7,500 and suspended from the industry for six months.
According to his FINRA online BrokerCheck report, Vigil was registered with Robert W. Baird & Co., Northwestern Mutual Investment Services, Fidelity Investments Institutional Services Co., Metropolitan Life Insurance Co., MetLife Securities in Westboro, Massachusetts from December 2002 until January 2014, Signator Investors in Warwick, Rhode Island from December 2013 until July 2014 and Investors Capital Corp in Saunderstown, Rhode Island from September 2014 until October 2014. He is currently registered with Infinity Financial Services in Saunderstown and has been since October 2014. He has three customer disputes against him.