Were you the victim of Wells Fargo Advisors Financial Network, LLC broker Thomas Moran (CRD# 709062)? He was registered with Wells Fargo Advisors Financial Network, LLC in Naples, Florida, from 2018 to 2022, and Wells Fargo Clearing Services, LLC in Naples, Florida, from 2003 to 2018.
Thomas Moran Customer Complaints
He has been the subject of three customer complaints between 1999 and 2024, two of which were denied, according to his CRD report:
May 2024. “Claimant alleges that beginning sometime in 2018 her Financial Advisor acted contrary to her instructions which resulted in unnecessary tax implications and prevented her account from growing to its full potential.” The customer is seeking $1,000,000 in damages, and the case is currently pending. He was registered with Wells Fargo Advisors Financial Network, LLC.
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, Wells Fargo Advisors Financial Network, LLC may be liable for investment or other losses suffered by Thomas Moran’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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