Last Updated: October 2023 (Dallas, Texas)
Thomas Morgan Investigation Summary
Here’s what you need to know about Dallas, TX, stockbroker Thomas Morgan:
- Name: Mr. Thomas J. Morgan, Jr.
- Current Employer: Previously registered broker, Corps Capital Advisors (RIA)
- Previous Firms: Morgan Stanley, Citigroup Global Markets, Goldman Sachs
- Function: Former Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Tommy Morgan
- Primary Location: Dallas, TX
- CRD 2385856
- Can Thomas Morgan be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $90,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Thomas Morgan As Your Stockbroker?
In 2020 a customer of Morgan Stanley was paid $90,000 to resolve allegations that Thomas Morgan made purchases without the customer’s knowledge resulting in losses.
A customer of Goldman Sachs was paid $54,611 in 2010 to resolve allegations that Thomas Morgan sold securities without the approval a the customer.
Allegations of Broker Misconduct Against Thomas Morgan
Customers of Thomas Morgan have alleged the following wrongdoing in connection with the handling of customer accounts:
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Thomas Morgan, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.