Former Morgan Stanley broker Thomas Murray (CRD# 1186933) was accused of engaging in an unauthorized investment opportunity. He has been registered with Wells Fargo Clearing Services, LLC in Pasadena, California since 2019. Previously, he was registered with Morgan Stanley in Pasadena, California from 2010 to 2019.
Thomas Murray Customer Complaints
He has been the subject of three customer complaints between 2002 and 2022, two of which were denied, according to his CRD report:
March 2022. “Claimant alleges, inter alia, FA solicited an outside investment opportunity that was not authorized by the Firm – 2017 – 2019.” The customer is seeking $300,000 in damages and the case is currently pending. The complaint took place while he was registered with Morgan Stanley and the complaint was regarding a managed wrapped account.
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, Morgan Stanley may be liable for investment or other losses suffered by Thomas Murray’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.
Did You Lose Money Investing with Robert Vance?
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 below for a free consultation.
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