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。
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Amy Furuno: Ex-Ladenburg Advisor Received $3mm Complaint
A recent, denied investor complaint against New York City financial advisor Amy Furuno (CRD# 3108378) alleged that her conduct resulted in more than $3 million in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Lucid Capital Markets, having previously been registered with Ladenburg Thalmann & Company.
Carlson Law Represents Several Chuck Roberts Clients Against Stifel
Carlson Law is representing several former clients of Chuck Roberts (CRD# 2064602), a Miami Beach-based financial advisor licensed with Stifel, Nicolaus & Company. Roberts is the Managing Director of the CR Wealth Management Group. Our firm currently has two pending arbitrations, one for a family based in Los Angeles and a second for a… Read More »
Lisa Hayes: $2mm Complaint Against Ex-Commonwealth Advisor
South Nyack, New York financial advisor Lisa Hayes (CRD# 1224647) recently received an investor complaint alleging that she recommended unsuitable investments, resulting in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Commonwealth Financial Network broker is currently registered as an investment advisor with Perigon Wealth Management.
Debra Cappos: Momentum Advisor Received Suitability Complaint
Oak Park, California financial advisor Debra Cappos (CRD# 1287041) allegedly mis-managed a customer’s account, according to a denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Momentum Independent Network, having previously been registered with Western International Securities.
Roosevelt Grayson: LPL Advisor Faces Suitability Complaint
A recent investor complaint against Detroit, Michigan financial advisor Roosevelt Grayson (CRD# 1328135) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Grayson Advisory Group.
Don Wells: $170K Complaint Against Realta, Ex-Titan Advisor
San Diego, California financial advisor Don Wells (CRD# 1217316) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively, having previously been registered with Titan Securities.
Carlson Law Uncovers Financial Advisor’s Embezzlement Scheme Against Former NFL Player
Miami Beach-based Carlson Law, P.A. recently uncovered a $2.6 million embezzlement scheme perpetrated by a financial advisor at a prominent Wall Street wealth management firm. The advisor misappropriated funds from a former NFL player, using the stolen money to finance a wild and extravagant spending spree. The embezzlement occurred between 2019 and 2022, during… Read More »
Anderson Pointe Investments: Conservation Easement Concerns?
Anderson Pointe Investments is a conservation easement that filed a Form D with the Securities and Exchange Commission to raise funds from investors in 2018. According to the form, the offering totaled $6,909,000, with a minimum investment of $70,500 accepted from outside investors. As it raised funds for the offering, it worked with broker-dealer… Read More »
Jefferies Fires Miami Advisors over “Impermissible” Money Transfers
A team of Miami-based representatives of Jefferies Financial Group were fired in connection with allegations of “impermissible money-transfer wires” and “deleted off-channel business communications,” according to news reports and filings with the Financial Industry Regulatory Authority. The representatives in question are Pablo Gherardi (CRD# 4602689), Guillermo Guerra (CRD# 4907302), Marcelo Poliak (CRD# 2465622), and… Read More »
David Sosa: Structured Products Complaint Against Cetera Advisor
Lake Mary, Florida financial advisor David Sosa (CRD# 2447013) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively, and that he is an employee of Regions… Read More »
