Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"Thomas Meier (CRD #1146044) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier consented to the sanction and to the entry of findings that he effected approximately 1,290 unauthorized transactions, including both purchases and sales of equity securities, in eight accounts belonging to six customers. The […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[89,965,290,964],"class_list":["post-6243","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct","tag-morgan-stanley","tag-scott-silver-morgan-stanley","tag-securities-arbitration","tag-thomas-meier"],"yoast_head":"\n
Florida Law Firm Silver Law Group is Investigating Thomas Meier of Morgan Stanley — Securities Arbitration Lawyers Blog — July 25, 2018<\/title>\n<meta name=\"description\" content=\"Thomas Meier (CRD #1146044) was barred from association with any FINRA member in all capacities. 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Thomas Meier (CRD #1146044) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier consented to the sanction and to the entry of findings that he effected approximately 1,290 unauthorized transactions, including both purchases and sales of equity securities, in eight accounts belonging to six customers. The findings stated that none of the eight accounts were discretionary accounts and Meier did not have discussions with the customers about the trades prior to the transactions and did not obtain the customers\u2019 authorization prior to executing any of the transactions. Meier received approximately $265,000 in commissions for those transactions. Two of the customers realized losses of approximately $78,000. In addition, there were unrealized losses in the accounts. To-date, Meier\u2019s member firm, Morgan Stanley, has paid a total of approximately $1,087,610 to five of the customers in connection with complaints about Meier. The findings also stated that Meier exercised discretion in five accounts belonging to four separate customers. The findings also included that Meier made inaccurate statements on four annual compliance questionnaires that he did not have any accounts in which business was transacted on a discretionary basis.<\/p>\n