Tom Thacker (CRD#: 2041461), a registered representative with Oppenheimer & Co. Inc. (CRD#: 249) in Beachwood, Ohio, is currently involved in an investor dispute over unsuitable investments in which a customer is seeking more than $400,000 in damages, according to his BrokerCheck record accessed on June 22, 2020. How did this complaint against Tom Thacker come about? Read on to learn more.
On May 20, 2020, Tom Thacker became involved in a customer dispute in which a customer alleged that he failed to provide suitable investment advice, failed to supervise, and violated FINRA rules. According to this customer, the activity in question occurred from February 1, 2017 through August 31, 2019. The client is seeking $440,000 in damages. The matter is pending.
Tom Thacker has passed the Series 65 – Uniform Investment Adviser Law Examination, the Series 63 – Uniform Securities Agent State Law Examination, the SIE – Securities Industry Essentials Examination, the Series 3 – National Commodity Futures Examination, the Series 7 – General Securities Representative Examination, the Series 10 – General Securities Sales Supervisor – General Module Examination, and the Series 9 – General Securities Sales Supervisor – Options Module Examination.
He is registered as a broker in Florida, Illinois, Michigan, New York, Ohio, Puerto Rico, Texas, and Wisconsin. He is registered as an investment adviser in Florida, Ohio, Puerto Rico, and Texas. He is also registered with several self-regulatory organizations, including Cboe Exchange, Inc.; FINRA; NYSE American LLC; NYSE Arca, Inc.; NYSE Chicago, Inc.; Nasdaq ISE, LLC; Nasdaq PHLX LLC; Nasdaq Stock Market; and the New York Stock Exchange.
Over his 30-year career in the securities industry, Tom Thacker has worked for other brokerage firms. In addition to his current role with Oppenheimer & Co. Inc. (CRD#: 249) in Beachwood, Ohio, he has also worked for:
- Morgan Stanley Smith Barney LLC (CRD#: 149777) — broker and investment adviser
- Citigroup Global Markets, Inc. (CRD#: 7059) — broker and investment adviser
- Lehman Brothers Inc. (CRD#: 7506) — broker
If Tom Thacker was your broker or investment adviser and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta to learn more about your options for investment loss recovery. Call (877) 238-4175 or email firstname.lastname@example.org for your free case consultation with a securities attorney.