Tag Archives: Thomas Alan Meier

Morgan Stanley Broker Barred For Unauthorized Trading

March 22, 2018  |   Posted by :   |   Churning, Investment and Regulatory News   |   0 Comments

Thomas Alan Meier of Miami Florida is a stockbroker formerly registered with Morgan Stanley who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he effected unauthorized and discretionary trades in customer accounts. Letter of Acceptance Waiver and Consent No. 2016049628301 (Mar. 19, […]

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Morgan Stanley Sued For Negligence

July 29, 2017  |   Posted by :   |   Securities Arbitration Claims   |   0 Comments

Thomas Alan Meier, of Miami, Florida, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related complaint on May 2, 2016, which settled for $497,245.90 in damages based upon allegations that between 2013 and 2016, he made misrepresentations concerning the terms and conditions of the customer’s liquidity within the […]

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