Thomas Meier, formerly with Morgan Stanley, Barred from Securities Industry
Have you lost money with financial advisor Thomas Meier of Miami, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas A. Meier. FINRA barred Meier from the securities industry regarding allegations that he made unauthorized purchases and sales in customer accounts, and that he also engaged in discretionary trading without written permission on those accounts.
Thomas Meier was a financial advisor and registered representative of Morgan Stanley from 2009 to April 2016. He worked at a branch office in Miami, Florida. Meier has been the subject of at least 14 customer complaints, and Morgan Stanley has paid out over $2.5 million already to settle these cases.
Brokerage firms like Morgan Stanley have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Colorado, Washington, & Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Florida and the Miami area. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Morgan Stanley.
Click to view: Meier, Thomas FINRA AWC
Click to view: Meier, Thomas BrokerCheck 3.20.18
If you lost money with Thomas Meier or Morgan Stanley, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.