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 MoreJames Willing: FINRA Suspends Boston Broker Over Private Transactions
James Willing (CRD# 468560), a broker currently associated with Moors & Cabot, was recently sanctioned by the Financial Industry Regulatory Authority in connection to allegations he participated in undisclosed private securities transactions. Formerly a representative of Morgan Stanley in Boston, Massachusetts, Willing was issued a 35-day suspension and a fine of $7,500.
According to a Letter of Acceptance, Waiver and Consent (No. 2018057629501) dated January 2020, James Willing was associated with Morgan Stanley as a General Securities Representative from 2010 until February 2018, when the firm filed notice of his termination over concerns about “disclosures regarding involvement in private investments outside the firm.” FINRA’s findings go on to state that between June 2015 and December 2016 he participated in private securities transactions without providing prior written notice to, nor receiving written approval from Morgan Stanley. He allegedly invested $62,500 in a series of transactions “involving pooled investment fund interests offered by a limited partnership pursuant to Regulation D.” The findings state that he invested $12,500 on June 15, 2015, and another $50,000 in 2016. FINRA states further that these pooled investment fund interests “were securities,” and that he did not notify his firm in writing before participating in the transactions, even though Morgan Stanley’s policies forbade representatives from participating in private securities transactions without providing prior written notice and receiving approval. According to FINRA, he gave the firm written notification in February 2017, when he filed a private investment disclosure. FINRA found that these activities constituted violations of NASD Rule 3040 and FINRA Rules 3280 and 2010. As a result of the foregoing alleged conduct, he was issued a 35-day suspension and a fine of $7,500.
James Willing has been registered with Moors & Cabot in Boston, Massachusetts since 2019. His previous registrations include Morgan Stanley, UBS Financial Services, Wachovia Securities, Prudential Securities, Loeb Partners, Hornblower Weeks Noyes & Trask, Hornblower & Weeks Hemphill Noyes, and Hornblower Weeks Hemphill Noyes. He has passed four securities industry qualifying examinations and his BrokerCheck report lists nine state securities licenses. (Information current as of May 20, 2020.)
