May 2018-Newton, PA
According to FINRA records, Bruce Thomas Brolle , a stockbroker who is not currently registered with any broker dealer, 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 May 2018 a customer of Morgan Stanley filed FINRA case 18-01665 alleging unsuitability with respect to investments made from June 2007-December 2016. The pending claim seeks damages of $562,086.
We are investigating Brolle on behalf of a retired couple who allege that they have suffered losses as a result of unsuitable investments in energy, biotech and precious metals, including but not limited to:
- Breitburn Energy Partners, L.P.
- Seadrill, Ltd.
- NRG Yield
- Vanguard Natural Resources
- Goldman Sachs MLP Energy Terraform Global
- Crescent Point Energy
- Celldex Therapeutics
- First Trust Precious Metals unit investment trusts
Thomas Brolle was employed by Morgan Stanley from 6/2009-11/2016. From 11/2016-12/2017 he was employed by Purshe Kaplan Sterling Investments. He operates Brolle Wealth Management in Newton, PA.
If you have questions about an account handled by Bruce Thomas “Tom” Brolle, call for a no charge consultation to discuss your legal options.
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.
Florida-561 391 1900