Rex Securities Law Investment Fraud Attorney Investigates Tom Holly formerly with National Securities Corp.

Rex Securities Law Investment Fraud Attorney Investigates Tom Holly formerly with National Securities Corp.

Rex Securities Law Investment Fraud Attorney Investigates Tom Holly formerly with National Securities Corp. 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Boca Raton, FL)

Tom Holly Investigation Summary

Here’s what you need to know about Boca Raton, Florida, stockbroker Tom Holly:

  • Name: Mr. John Thomas Holly, Sr.
  • Current Employer: B. Riley Wealth Management
  • DBA: B. Riley Wealth Tax Services
  • Previous Firms: National Securities Corporation
  • Function: Stock Broker/ Financial Advisor
  • Aliases: Tom Holly
  • Primary Location: Boca Raton, Florida
  • CRD 1713313
  • Can Tom Holly be sued in FINRA arbitration: Yes
  • Sanctioned by FINRA: No
  • Highest Settlement or Award:$37,500

Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.

Did You Lose Money With Tom Holly As Your Stockbroker?

In 2023 a customer of National Securities Corp. was paid $37,500 to resolve a FINRA arbitration alleging that Tom Holly recommended an unsuitable and risk investment in a private placement, GWG Bonds. GWG Holdings filed for Chapter 11 Bankruptcy in April 2022, see this for an update and how to recover losses on GWG Bonds.

Allegations of Broker Misconduct Against Tom Holly

A customer of Tom Holly has alleged the following wrongdoing in connection with the handling of customer accounts:

  • Unsuitable Investment Recommendation to invest in a risky private placement, GWG Bonds.

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 Tom Holly, contact us for a complimentary consultation with an experienced 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.

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