Investor Alleges Thomas Hampton Took Financial Advantage of Him

Thomas Hampton (CRD #: 1730068), a broker registered with MML Investors Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on January 18, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On December 7, 2022, an investor alleged that, starting in approximately 2016, Thomas Hampton took advantage of him with regard to the offering of services including financial planning, investment, and services “akin to selling away.”

The client seeks $100,000 in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to disclose to their firm any business activities they engage in outside it, including any compensation they expect to receive.

Background Information

Thomas Hampton has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• Series 62 – Corporate Securities Limited Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination
• Series 24 – General Securities Principal Examination

Thomas Hampton is a registered broker in 24 states and the District of Columbia. He is also a registered investment adviser in Alabama and Texas.

He has also worked for the following firms:

• MSI Financial Services (CRD#:14251)
• Metropolitan Life Insurance Company (CRD#:4095)
• Lincoln Financial Advisors (CRD#:3978)
• The Lincoln National Life Insurance Company (CRD#:2580)
• Equico Securities (CRD#:6627)
• The Equitable Life Assurance Society of the United States (CRD#:4039)

Kurta Law Can Help

If you worked with Thomas Hampton and you 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 and 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.