According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Thomas Meier, a former Morgan Stanley broker, violated securities laws. Allegedly, over the period of July 2012 until March 2016, Meier effected more than 1,000 unauthorized transactions in the accounts of six customers and exercised discretion without written authorization and without the accounts being accepted as discretionary in the accounts of four other customers. For this, he was barred from the industry.
Per his online, FINRA BrokerCheck report, Meier was previously registered with Merrill Lynch form April 1984 until August 1985, Amerifirst Securities Corp from December 1985 until February 1989, Thomas McKinnon Securities in New York, New York from March 1989 until August 1989, FAIC Securities from June 1983 until December 1989, Prudential Securities in New York, from August 1989 until November 1992, Citigroup Global Markets in Miami, Florida from October 1992 until June 2009 and Morgan Stanley in Miami from June 2009 until April 2016. He has 14 customer disputes against him. He is not currently registered as a broker.
Please call our securities law firm today based in Chicago, Illinois for a free consultation with one of our attorneys if you feel like you may have a case against Morgan Stanley for Thomas Meier losses. We take cases on a contingency fee basis only, so we only make money if you recover yours. The call is free with no obligation. Attorneys are standing by. We try cases in the FINRA arbitration forum.
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