Thomas Murray: $300K Complaint Against Wells Fargo Rep

Thomas Murray (CRD# 1186933), a broker and financial advisor based in Pasadena, recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of Wells Fargo Clearing Services.

Filed in March 2022, the pending investor complaint listed on Mr. Murray’s BrokerCheck report alleges that as a representative of Morgan Stanley Smith Barney, he “solicited an outside investment opportunity that was not authorized by the firm.” The pending complaint alleges damages of $300,000.

According to the Financial Industry Regulatory Authority, Thomas Murray holds 38 years of securities industry experience. Based in Pasadena, California, he has been a representative of Wells Fargo Clearing Services since 2019. His past registrations include Morgan Stanley (Pasadena, California; 2010-2019), RBC Capital Markets Corporation (Pasadena, California; 2004-2010), Wachovia Securities (Pasadena, California; 1998-2004), Painewebber (Weehawken, New Jersey; 1993-1998), Prudential Securities (New York, New York; 1987-1993), and Shearson Lehman Brothers (1983-1987). His credentials include the passage of five securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; and the General Securities Representative Examination, or Series 7. He is licensed in Arizona, California, Florida, Hawaii, Illinois, Nevada, New Mexico, and New York. His eleven self-regulatory organization (SRO) registrations include FINRA, the New York Stock Exchange, the Nasdaq Stock Market, NYSE Arca, NYSE Chicago, Nasdaq ISE, Nasdaq GEMX, and Nasdaq PHLX. (Information current as of May 22, 2022.)

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