更新：卡尔森律师事务所已针对摩根士丹利提交一项与汤姆·刘相关的仲裁申请。 卡尔森律师事务所正在调查位于加利福尼亚州尔湾市的摩根士丹利经纪人汤姆·刘（CRD编号：6834194）。我们已被刘的一位客户聘请代理其索赔，该客户因刘从事高风险期权交易而遭受重大损失，包括卖出特斯拉（Tesla）、谷歌（Alphabet）、Palantir、亚马逊（Amazon）和脸书（Meta）的裸卖权期权。我们计划在未来几天内对摩根士丹利提起索赔。我们希望与其他汤姆·刘的客户交流。 证券行业的多项标准旨在保护投资者免受不当高风险投资和策略的侵害。美国金融业监管局（FINRA）的适当性标准便是其中之一。根据FINRA第2111号规则，证券从业人员和机构在向客户推荐某项证券交易或投资策略前，必须“基于合理的尽职调查，有合理理由相信该交易或策略适合客户的投资状况。”若无合理依据而作出推荐，相关经纪人及公司可能需对由此造成的损失承担责任。 摩根士丹利官网显示，汤姆·刘是“大卫·龙团队”（The David Lung Group）成员之一，该团队还包括财务顾问大卫·龙（David Lung）、萧爱莲（Irena Hsiao）和奥扎尔·阿莱菲（Ozair Alefi）。此外，一份介绍汤姆·刘背景与服务的资料中写道：“作为一名财务顾问，汤姆专注于投资组合管理，为客户制定财富管理策略，帮助他们自信地迈向退休目标。他致力于建立长期合作关系，力求提供卓越的客户服务。他认真倾听客户的目标、价值观、愿景和顾虑，致力于帮助客户实现财务目标。” 根据金融业监管局资料，汤姆·刘拥有七年证券行业经验。目前在加州尔湾工作，自2022年起在摩根士丹利注册为经纪人及投资顾问。他曾于2017年至2022年间在尔湾的富国证券（Wells Fargo Clearing Services）注册。他已通过五项证券行业资格考试：普通证券代表考试（Series 7TO）、证券行业基础考试（SIE）、投资公司产品/可变合约代表考试（Series 6）、统一投资顾问法律考试（Series 65）、统一证券代理人州法考试（Series 63）。他目前持有28个州的执业牌照。（信息截至2025年4月14日） 卡尔森律师事务所代表全美投资者就金融顾问和投资公司引发的损失提起索赔。如果您或您的亲属因投资而遭受损失，请致电 888-976-6111，或填写我们的联系表，我们将为您提供免费且保密的咨询服务。
Read MoreGWG Complaint Against McDaniel Corporation’s Craig McDaniel
An investment in GWG Holdings forms the basis of a recent investor complaint against Craig McDaniel (CRD# 1087979). Financial Industry Regulatory Authority records show that the Columbia, South Carolina advisor is a representative of The McDaniel Corporation, which offers securities through Capital Investment Group.
Complaint Alleges Unsuitable Investments
Mr. McDaniel’s BrokerCheck report discloses one investor complaint. Filed in October 2022, it alleges that as a representative of Capital Investment Group, he recommended an unsuitable investment in GWG Holdings. (More information about GWG Holdings, which reportedly raised more than $1 billion from investors in its L bonds, products filed for Chapter 11 bankruptcy, and is under investigation by the SEC, is available via this resource.) The pending complaint alleges damages of $270,000.
McDaniel Corporation Offers “Range of Financial Services”
According to the website for The McDaniel Corporation, Mr. McDaniel is the firm’s president and supervisor. Located in Columbia, the firm provides “a wide range of financial services,” according to the website, including retirement income planning, investment analysis and planning, risk management, and estate planning. It “has a professional staff of dedicated, experienced, knowledgeable, and highly competent personnel who are trained and licensed financial advisors to offer a broad range of financial planning services” working under the supervision of Mr. McDaniel, whose profile page describes his specialization in retirement planning, insurance, investments, and tax reduction strategies. “He utilizes his experience and educational background to now practice strictly as a Certified Financial Planner,” the profile states. “Craig is also licensed in securities, fixed and variable annuities, and life, disability and long term care insurance. Craig is interested in building long term relationships.”
FINRA: McDaniel Based in Columbia, South Carolina
According to the Financial Industry Regulatory Authority, Craig McDaniel holds 39 years of securities industry experience. Based in Columbia, South Carolina, he has been registered as a broker with Capital Investment Group since 2004 and as an investment advisor with Capital Investment Advisory Services since 2009. He is a representative of The McDaniel Corporation, which offers securities through Capital Investment Group. Over the course of his career, he has also worked with firms including CIC Advisers, WC Smith & Company, and Royal Alliance Associates. Having passed four securities industry exams, he currently holds 34 state licenses. (Information current as of November 23, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.
