Were you the victim of Merrill Lynch, Pierce, Fenner & Smith Incorporated broker Thomas Steele (CRD# 6131730)? He has been registered with Morgan Stanley in Atlanta, Georgia, since 2017. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Alpharetta, Georgia, from 2013 to 2017.
Thomas Steele Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
November 2025. “Client alleges misrepresentations and unsuitable investment recommendations.” The case is currently pending. The complaint was regarding options losses, and it took place while he was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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, Merrill Lynch, Pierce, Fenner & Smith Incorporated may be liable for investment or other losses suffered by Thomas Steele’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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