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Thomas Chandler Facing an Investor Dispute

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
August 6, 2025 at 5:33pm

Thomas Chandler (CRD #: 2303483), a broker registered with Ameriprise Financial Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on August 6, 2025. Keep reading if you have questions concerning his conduct. 

Investor Dispute 

On April 7, 2025, an investor alleged that Thomas Chandler placed trades in their non-qualified select portfolio servicing account, which allegedly resulted in a tax burden. The investor sought $50,000, but the dispute was denied by the firm. Investors should know that firms can deny disputes without any external review and that investors can still recover losses following a denial. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Placing trades in a non-qualified account may violate this rule. 

Background Information 

Thomas Chandler has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 22 states and is a registered investment adviser in California and Texas. 

Thomas Chandler has registered with eight firms: 

  • Ameriprise Financial Services (CRD #: 6363) 
  • Hanson McClain Securities (CRD #: 103747) 
  • Hanson McClain Advisors (CRD #: 111167) 
  • Hanson McClain Strategic Advisors (CRD #: 158395) 
  • Securities America (CRD #: 10205) 
  • Painewebber Incorporated (CRD #: 8174) 
  • Olde Discount Corporation (CRD #: 5979) 
  • Gore-Horvath (CRD #: 6809) 

Kurta Law Can Help

If you worked with Thomas Chandler and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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