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Investor Alleges Thomas Van Horn Engaged in Negligent Conduct

Thomas Van Horn (CRD #: 2101920), a broker registered with Moloney Securities Company, allegedly violated several FINRA rules, according to his BrokerCheck record, accessed on April 21, 2023. Read on to learn more about his alleged conduct as a broker.

Investor Dispute

In a dispute filed on March 13, 2023, an investor alleged that Thomas Van Horn engaged in negligence and violated FINRA Rules 2111 and 2020. The client seeks $50,000 in damages in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles. These profiles describe an investor’s tax status, risk tolerance, and other characteristics.

Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds by seeking out FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities.

What qualifies as broker negligence?

Many types of broker misconduct may qualify as negligence. Typical examples include misrepresentations or omissions of material fact, unsuitable investment recommendations, and excessive trading.

Investors who feel their losses are the result of broker negligence may be able to recover their funds by pursuing FINRA arbitration.

Background Information

Thomas Van Horn has passed the following exams:

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

Thomas Van Horn is a registered broker in Florida and Illinois.

He has also worked for Hancock Securities Group (CRD#:103260) and D.R. Hancock & Company (CRD#:10610).

Kurta Law Can Help

If you worked with Thomas Van Horn and you have concerns about your investments, please contact us today at 877-600-0098 or 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.