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National Investment Fraud Lawyers

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Investigation of Oppenheimer & Co. Inc. Broker Tom Thacker

Posted on Tuesday, January 5th, 2021 at 8:56 pm    

Oppenheimer & Co. Inc.

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Tom Thacker (CRD# 2041461). Thacker has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio since 2012. 

Thacker has been the subject of one customer complaint, according to his CRD report:

May 2020. “Claimant alleges claims for failure to provide suitable investment advice and supervision, and violations of FINRA rules. From 2/1/2017 – 8/31/2019.” The customer is seeking $440,000 in damages and the case is currently pending. The complaint was regarding use of margin, options, and common and preferred stocks. 

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, Oppenheimer & Co. Inc. may be liable for investment or other losses suffered by Thacker’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.