November 2020- Beachwood, OH
According to publicly available records, a Oppenheimer, broker Tom G. Thacker II, discloses a recently filed 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 May of 2020, a customer of Oppenheimer filed FINRA case #20-01604 alleging claims for failure to provide suitable investment advice, lack of supervision and violations of FINRA rules . Alleged damages are $440,000 in this currently pending case.
Thacker has been employed by Oppenheimer since June of 2012. Before that time he was with Morgan Stanley Smith Barney.
If you have losses in an account handled by Tom Thacker II , call 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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