Last Updated: September 2023 (Chesterfield, MO)
Thomas Kieffer Investigation Summary
Here’s what you need to know about Chesterfield, MO, stockbroker Thomas A. Kieffer:
- Name: Mr. Thomas Anthony Kieffer
- Current Employer: Not registered with FINRA-RIA with St. Louis Financial Planners
- Previous Firms: Ceros Financial Services, Girard Securities, Spelman & Co. .First Affiliated Securities, FSC Securities
- Function: Registered Investment Advisor
- Aliases: Thomas Kieffer
- Primary Location: Chesterfield, MO
- CRD 269086
- Can Thomas Kieffer be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $485,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Thomas Kieffer As Your Stockbroker?
Thomas Kieffer discloses 3 prior customer disputes that were settled, including the following:
In 10/2021 a customer of St. Louis Financial Planners was paid $132,025 ($102,025 of which paid by Kieffer individually) to resolve allegations that Thomas Kieffer breached his fiduciary duty while managing the customer’s portfolio.
In 6/2020 a customer of St. Louis Financial Planners was paid $485,000 ($373,450 of which paid by Kieffer individually) to resolve allegations that Thomas Kieffer breached his fiduciary duty and was negligent while managing the customer’s portfolio.
Allegations of Broker Misconduct Against Thomas Kieffer
Customers of Thomas Kieffer have alleged the following wrongdoing in connection with the handling of customer accounts:
- Negligence while managing portfolio
- Breach of fiduciary duty
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
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
If you have suffered investment losses in an account handled by Thomas Kieffer, 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.
