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Thomas Vernor Suspended Following Criminal Charge

Thomas Vernor has been suspended by FINRA following a felony charge, according to his BrokerCheck record, accessed on July 24, 2023. Keep reading if you want to know more. 

On June 15, 2023, Thomas Vernor consented to the findings that he failed to amend his Form U4 to disclose a felony charge. The findings further alleged that he knew he was required to disclose a felony charge but he voluntarily chose to not make the required disclosure. According to the Acceptance, Waiver, and Consent agreement, he was charged on April 1, 2022. 

As part of the terms of the AWC, the investor has consented to a 5-month suspension and a $5,000 fine. 

You can read a copy of the AWC here. You can visit his BrokerCheck profile to see the details of his criminal charge. 

Background Information 

Thomas Vernor has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 3 National Commodity Futures Examination 
  • Series 7 General Securities Representative Examination 

Thomas Vernor has registered with the following firms: 

  • LPL Financial (CRD #: 6413) 
  • Wachovia Securities (CRD #: 19616) 
  • Prudential Securities Incorporated (CRD #: 7471) 
  • Morgan Stanley (CRD #: 7556) 

Kurta Law Can Help

If you worked with Thomas Vernor 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. 

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