Thanasi Tomaras: RF Lafferty Advisor Lands $500K Complaint

New York City financial advisor Thanasi Tomaras (CRD# 2722538) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RF Lafferty & Company.

Mr. Tomaras’ BrokerCheck report discloses several investor complaints. The most recent, filed in February 2025, alleges that as a representative of RF Lafferty & Company, he recommended unsuitable investments and did not follow a sell order. The pending complaint alleges damages of $500,000.

An earlier investor complaint, filed in 2016, alleged that as a representative of Fulcrum Securities, he recommended unsuitable investments. The complaint reached a settlement of $14,999. A third investor complaint, filed in 2015, alleged that as a Fulcrum Securities representative, he overly concentrated the investor’s account in energy investments and failed to execute stop loss orders. The complaint reached a settlement of $25,000.

A fourth disclosure on Mr. Tomaras’ BrokerCheck report concerns a FINRA sanction against him. Filed in 2021, it alleged that he engaged in an unapproved and undisclosed outside business activity in which he was “the sole owner of a commercial and residential landscaping company.” He was fined $5,000 and issued a 45-day suspension.

Mr. Tomaras’ LinkedIn profile includes a section in which he describes the services he offers to investors. “Regardless of whether you are an individual or institutional investor, large or small, your need for professional financial advice is the same,” he explains. “We will guide you through the investment process at your own speed and offer expertise in a broad range of products and services. Backed by some of the most outstanding financial resources available today, we are in a unique position to offer you unparalleled personalized attention and advice.”

According to the Financial Industry Regulatory Authority, Thanasi Tomaras holds 29 years of securities industry experience. Based in New York City, he has been registered as a broker and an investment advisor with RF Lafferty & Company since 2015 and 2016, respectively. His past registrations include Fulcrum Securities, Fulcrum Advisory Services, Morgan Stanley, H&R Block Financial Advisors, and RSM McGladrey. His credentials include the passage of nine securities industry qualifying exams: the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor Exam – Options Module & General Module, or Series 8; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the General Securities Principal Examination, or Series 24; the Municipal Securities Representative Examination, or Series 52; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Arizona, California, Florida, Georgia, Illinois, Michigan, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, and Virginia. (Information current as of May 4, 2025.)

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