Thomas Murray Involved in a $300,000 Investor Dispute
Thomas Murray (CRD #: 1186933), a broker registered with Wells Fargo Clearing Services, is facing a six-figure investor dispute, according to his BrokerCheck record, accessed on May 12, 2022. Keep reading for more details.
On March 1, 2022, an investor alleged that Thomas Murray solicited an outside investment opportunity that was not authorized by the firm. The investor is seeking $300,000; the dispute is pending.
Private Securities Transactions
FINRA Rule 3280 requires brokers to provide written notice to the firm of their proposed private securities transactions. If the broker receives compensation for their role, the firm must approve the transaction.
Thomas Murray 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 31 Futures Managed Funds Examination
- Series 7 General Securities Representative Examination
He is a registered broker in eight states and is a registered investment adviser in California.
Thomas Murray has worked with the following firms:
- Wells Fargo Clearing Services (CRD #: 19616)
- Morgan Stanley (CRD #: 149777)
- RBC Capital Markets Corporation (CRD #: 31194)
- Wachovia Securities (CRD #: 19616)
- Painewebber Incorporated (CRD #: 8174)
- Prudential Securities Incorporated (CRD #: 7471)
- Shearson Lehman Brothers (CRD #: 7506)
Kurta Law Can Help
If you worked with Thomas Murray and have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For nearly 20 years, Kurta Law has advocated on behalf of investors recovering their investment losses from stockbrokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors. We work on a contingency basis, which means that the firm only earns a fee if our securities attorneys recover money on your behalf. Reach out and we can tell you what steps to take to restore your lost funds.