Tom Brandstater Allegedly Failed to Follow Investor Instructions
Tom Brandstater (CRD #: 6140680), a broker registered with Wells Fargo, is involved in an investor dispute, according to his BrokerCheck record, accessed on June 22, 2022. Details are provided below.
On April 12, 2022, an investor did not act upon a request for 5% stop orders. “Stop loss orders” are put in place to limit trading losses. He also allegedly failed to act on tax loss harvest requests and instructions concerning an equity transaction. Failure to follow investors instructions is a violation of FINRA Rule 2010, which requires investors to uphold high standards of commercial honor.
Tom Brandstater has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He is a registered broker in 25 states and is a registered investment adviser in Tennessee and Texas.
He has only ever registered with Wells Fargo Clearing Services (CRD #: 19616).
Kurta Law Can Help
If you worked with Tom Brandstater and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.