Thomas Murray Investigation
July 2022-Pasadena, CA
According to publicly available records Thomas Wilson Murray , a Wells Fargo Clearing Services broker discloses a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In recently filed FINRA case #22-00422, a Morgan Stanley Smith Barney customer,(Murray’s prior employer), alleges solicitation of an outside investment opportunity that was not authorized by the firm. The alleged damages are $300,000 and the case is still pending.
Murray has been employed with Wells Fargo Clearing Services since September of 2019. Before that time he was employed by Morgan Stanley from 2/2010 to 9/2019.
If you have losses in an account handled by Thomas Wilson Murray , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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