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 MoreEx-Eastgate Rep James O’Reilly Barred: Alleged Outside Activities
James O’Reilly (CRD# 2209758), a broker previously registered with Eastgate Securities, has been sanctioned by the Financial Industry Regulatory Authority after findings he refused to cooperate with an investigation into allegations of potential undisclosed outside business activities. He was formerly registered with the firm’s office in Little Neck, New York.
A Letter of Acceptance, Waiver and Consent (No. 2019064977701) dated August 2, 2021 notes that in the period between January 2017 and May 2021, James O’Reilly was registered with TOR Brokerage LLC and then Eastgate Securities. He was registered with the firms as a General Securities Representative and as a General Securities Principal. The Letter states that on May 28, 2021, FINRA sent him a request to provide on-the-record testimony in connection with FINRA’s investigation “into potential undisclosed outside business activities and private securities transactions involving private placement offerings.”
Instead of providing the testimony as requested, FINRA states, James O’Reilly instead indicated to FINRA via counsel on June 8, 2021 that he would not appear for the requested testimony “at any time.” FINRA found that this refusal constituted a violation of FINRA Rule 8210, which requires persons under FINRA jurisdiction to provide on-the-record testimony requested as part of its investigations. As a result of these findings, James O’Reilly was barred from associating with any FINRA member in any capacity.
According to the Financial Industry Regulatory Authority, James O’Reilly holds 26 years of securities industry experience. His previous registrations include Lakeridge Capital (Ontario, Canada; 2020-2021), Eastgate Securities (Little Neck, New York; 2018-2021), TOR Brokerage LLC (North Bergen, New Jersey; 2017-2019), Dakoy Capital Markets (New York City; 2015-2019), Gate US LLC (NYC; 2008-2015), Calibrax Capital Partners (Cold Spring Harbor, New York; 2008), ATM USA (NYC, 2007-2008), and Hamershlag Dodeles & Company (NYC; 2006-2007). His qualifications include the passage of seven securities industry examinations: Uniform Investment Adviser Law Examination (Series 65), Uniform Securities Agent State Law Examination (Series 63), Securities Industry Essentials Examination (SIE), National Commodity Futures Examination (Series 3), Limited Representative-Equity Trader Exam (Series 55), General Securities Representative Examination (Series 7), and General Securities Principal Examination (Series 24). He presently holds no state securities licenses. (Information accessed on December 17, 2021.)
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.
