Athanasios Tomaras (a/k/a Thanasi Tomaras) – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Athanasios Tomaras (a/k/a Thanasi Tomaras). If you suffered losses investing with Athanasios Tomaras (a/k/a Thanasi Tomaras), then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Athanasios Tomaras (a/k/a Thanasi Tomaras) (CRD# 2722538)
Disclosure Events
04/27/2015 Customer Dispute – Settled
04/30/2013 Customer Dispute – Settled
03/23/2010 Customer Dispute – Denied
08/03/2009 Regulatory – Final
Initiated By FLORIDA
Allegations:
TOMARAS FAILED TO OBSERVE HIGH STANDARDS OF COMMERICAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF TRADE
Resolution: Stipulation and Consent
Sanctions: Cease and Desist
Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
Amount: $10,000.00
Sanctions: ASSOCIATED PERSON REQUIRED TO BE PLACE ON HEIGHTENED SUPERVISION WITH EMPLOYING BROKER DEALER AND INVESTMENT ADVISER
05/18/2005 Customer Dispute – Denied
Current and Previous Registrations
10/2015 – PRESENT R.F. LAFFERTY & CO., INC. (CRD# 2498) – OLDSMAR, FL
03/2012 – 03/2016 FULCRUM SECURITIES, LLC (CRD# 140084) – OLDSMAR, FL
06/2009 – 03/2012 MORGAN STANLEY SMITH BARNEY (CRD# 149777) – CLEARWATER, FL
04/2007 – 06/2009 MORGAN STANLEY & CO. INCORPORATED (CRD# 8209) – CLEARWATER, FL
07/2004 – 04/2007 MORGAN STANLEY DW INC. (CRD# 7556) – CLEARWATER, FL
04/1996 – 07/2004 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979) – DETROIT, MI
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Athanasios Tomaras (a/k/a Thanasi Tomaras) and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
