Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Wrich (Wrich), currently associated with & partners, has at least one disclosable event. These events include one customer complaint, alleging that Wrich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 13, 2024.
Arbitration: Claimant alleges that beginning in 2001, the advisory fees charged were misrepresented and excessive.\, Complaint: Client complains that the advisory fees charged have been higher than what she and the Financial Advisor agreed upon. (1/1/2003-6/7/2024)