Thomas W. O’Brien, a financial advisor for the brokerage firm of Raymond James & Associates, Inc., is the subject of a recently-filed customer complaint alleging $5 million in damages.
The customer complaint, which was filed as an arbitration with the Financial Industry Regulatory Authority (FINRA), alleges, among other things, breach of contract, fraudulent concealment, overconcentration, unauthorized trading, and failure to supervise.
Mr. O’Brien works at a Raymond James office in Shreveport, Louisiana. According to regulatory records, he has worked for Raymond James since February 2013. Prior to that, he worked for the brokerage firm of Morgan Keegan & Co., Inc.
If you are a current or former customer of Mr. Whitmeyer and have questions about investments that he sold to you, please call the experienced securities arbitration lawyers at the law firm of Meyer Wilson today. Since 1999, they have represented more than 1,000 investors throughout the U.S. and recovered more than $300 million on behalf of their clients.
- Meyer Wilson Law Firm Investigating Alleged Misconduct by Now-Former Merrill Lynch Financial Advisor John M. James
- The Stock Market Goes Up and Down, but Investment Fraud is Always Lurking
- Update: Ohio Law Firm of Meyer Wilson Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel
Recovering Losses Caused by Investment Misconduct.