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Thomas Bonds: $5 Million Complaint Against Morgan Stanley Advisor

San Francisco financial advisor Thomas Bonds (CRD# 1867556) recently received an investor complaint alleging his investment recommendations resulted in damages of $5 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.

Mr. Bonds’ BrokerCheck report discloses several investor complaints. The most recent, filed in December 2021, alleges that as a representative of Morgan Stanley, he made unsuitable recommendations regarding a managed account between April 2015 and September 2021. The pending complaint alleges damages of $5 million.

An earlier investor complaint, filed in 1992, alleged that as a representative of Salomon Smith Barney, Mr. Bonds committed fraud and breached his fiduciary duty. The complaint reached a settlement of $11,115.47.

A third investor complaint, filed in 1994, alleged excessive and unauthorized trading while Mr. Bonds was a Salomon Smith Barney representative. The complaint reached a settlement of $60,631.

A fourth investor complaint, filed in 1993, alleged unauthorized trading while he was a representative of Shearman Lehman Brothers. The complaint reached a settlement of $12,000.

According to the Financial Industry Regulatory Authority, Thomas Bonds holds 33 years of securities industry experience. Based in San Francisco, California, he has been a broker and an investment advisor with Morgan Stanley since 2009. His past registrations include Morgan Stanley & Company (Newport Beach, California; 2007-2009), Morgan Stanley DW (Merrillville, Indiana; 2004-2007), Merrill Lynch (New York, New York; 1994-2004), Smith Barney (New York, New York; 1993-1994), and Lehman Brothers (New York, New York; 1988-1993). His credentials include the passage of seven securities industry qualifying exams: the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is holds 47 state licenses. (Information current as of September 3, 2022.)

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.

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