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Thomas Moran is Facing an Investor Dispute

Thomas Moran (CRD #: 709062), a previously registered broker with Wells Fargo Advisors Financial Network, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on April 24, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On March 1, 2024, an investor alleged that Thomas Moran acted contrary to her instructions, resulting in unnecessary tax implications. The investor is seeking $1,000,000. 

Investors should know that there are two older investor disputes on his record. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow investor instructions may violate this rule. 

Background Information 

Thomas Moran 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

During his 42 years of experience, Thomas Moran has registered with five firms: 

  • Wells Fargo Advisors Financial Network (CRD #: 11025) 
  • Wells Fargo Clearing Services (CRD #: 19616) 
  • Prudential Securities Incorporated (CRD #: 7471) 
  • Richardson Greenshields Securities (CRD #: 3178) 
  • Paine, Webber, Jackson & Curtis (CRD #: 8174) 

Kurta Law Can Help 

If you have worked with Thomas Moran and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.

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