Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Mooney (Mooney), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mooney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint with a damage request of $1,000,000.00 on October 20, 2022.
Arbitration Award in favor of Creative Planning. Alleged breach of agreement, breach of fiduciary duties, negligence in the discretionary handling of claimant’s accounts and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law related to the management of options in claimant’s account from August 2017 until September 2022.