Thomas Stratton Barred By FINRA, Resigns from World Choice Securities
Thomas Stratton (CRD #: 1646899), a former broker, was barred by FINRA, according to his BrokerCheck record, accessed on August 31, 2021. Thomas Stratton has also resigned from his broker firm, World Choice Securities.
On August 13, 2021, Thomas Stratton voluntarily resigned from World Choice Securities following allegations that he failed to respond to a request for information from FINRA, which resulted in a FINRA bar.
On August 12, 2021, Thomas Stratton consented to the findings that he refused to provide information and documents requested by FINRA. FINRA was investigating his potential misuse of customer funds. This stemmed from the sale of promissory notes related to a third party’s life insurance policy and Thomas Stratton’s alleged misrepresentations. The investigation originated from a tip to FINRA’s Securities Helpline for Seniors. You can read a copy of FINRA’s Acceptance, Waiver, and Consent agreement here.
Thomas Stratton Background Information
Thomas Stratton has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
Thomas Stratton has worked with the following firms:
- World Choice Securities (CRD #: 30933)
- Financial Independence Systems (CRD #: 46425)
Kurta Law Can Help
If you worked with Thomas Stratton and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email email@example.com.