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 MoreGuy Waltman: UBS Broker Suspended by FINRA
A disciplinary action taken by the Financial Industry Regulatory Authority against Princeton, New Jersey broker Guy Waltman (CRD# 1540766) suspended him over allegations he failed to disclose to his member firm that he had investment control over a customer’s accounts at other broker-dealers. A representative of UBS Financial Services, Waltman was fined $5,000 and suspended for three months.
According to a Letter of Acceptance, Waiver and Consent (No. 2016050191701) dated February 2019, Guy Waltman held “investment control over five securities accounts” for a customer and her trust between 2010 and 2016. According to FINRA, he met the customer about 25 years ago and began “assisting… with her financial affairs” in 2006. Upon the 2009 death of the customer’s mother and her inheritance of “a large sum of money,” Waltman referred her to an attorney who assisted the customer in the establishment of brokerage accounts for the inheritance at a FINRA firm. Then, in 2010, she appointed him as a trustee of a trust on her behalf, as well as her attorney-in-fact whose responsibilities included the management of her finances. FINRA states that he did not inform his firm, UBS Financial Services, that he was acting as her power of attorney and trustee, in violation of the firm’s policies.
FINRA’s findings go on to state that Guy Waltman “routinely certified that he understood” firm policies requiring that representatives disclose outside accounts over which they have investment control. In spite of his discretionary authority over these accounts, according to FINRA, he “did not disclose them to UBS,” including on annual affirmations “on which he should have disclosed the accounts.” FINRA states that his failure to disclose the accounts “prevented UBS from properly supervising” the outside accounts, which exposed UBS to risk and obstructed its ability to meet regulatory requirements. FINRA’s findings also state that Waltman did not inform the outside firms of his association with UBS, for instance on account-opening documents for the customer’s trust which listed his employment status as “not employed.” FINRA’s findings state that these activities constituted violations of FINRA Rule 2010 and NASD Rule 3050(c).
As a result of the foregoing alleged conduct, Guy Waltman was suspended from associating with any FINRA member firm in any and all capacities for three months. He was also ordered to pay a fine of $5,000.
Guy Waltman has been registered with UBS Financial Services in Princeton, New Jersey since 2006. His employment history includes Credit Suisse Securities, Credit Suisse Asset Management Securities, and Donaldson Lufkin & Jenrette Securities Corporation. He currently holds ten state licenses and has passed three securities industry qualification examinations.
