DID REBECCA T THOMAS CAUSE YOU INVESTMENT LOSSES?
About Rebecca Thomas formerly with Merrill Lynch, Pierce, Fenner & Smith Incorporated?
Rebecca Thomas (CRD #1085958) has had a long-standing career in the securities industry. She is currently employed and registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Louisville, Kentucky, since December 21, 1982. Thomas has passed two general industry/product exams—the Securities Industry Essentials Examination (October 1, 2018) and the General Securities Representative Examination (Series 7, December 18, 1982)—and two multi-state securities law exams—the Uniform Investment Adviser Law Examination (Series 65, July 21, 1993) and the Uniform Securities Agent State Law Examination (Series 63, January 6, 1983). She is registered with seven Self-Regulatory Organizations (SROs) and holds licenses in 26 U.S. states and territories.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Rebecca Thomas Customer Complaints and Reviews
Rebecca T. Thomas has one customer dispute on her record:
- Customer Dispute (Settled):
- Date Received: July 30, 2020
- Allegations: The customer alleged unauthorized trading in managed/wrap accounts from February 20, 2020, to April 3, 2020.
- Outcome: The dispute was settled on September 4, 2020, for $613.91. Thomas did not contribute personally to the settlement. The firm’s investigation found that the accounts were managed by outside money managers, and Thomas was not responsible for the alleged trading. The firm provided an adjustment credit to resolve the dispute due to an administrative error.
Allegations Against Rebecca Thomas
The allegations and accusations against Rebecca T. Thomas in the reported disclosure involve:
- Unauthorized Trading: The customer alleged unauthorized trading activities in managed/wrap accounts during the period from February 20, 2020, to April 3, 2020. The firm’s investigation determined that these accounts were managed by outside money managers and that Thomas was not responsible for the trading activities. The firm resolved the issue with a credit adjustment as a business accommodation.
Rebecca Thomas Red Flags & Your Rights As An Investor
Of course, Rebecca Thomas did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Rebecca Thomas at Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Rebecca Thomas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch, Pierce, Fenner & Smith Incorporated also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Merrill Lynch, Pierce, Fenner & Smith Incorporated Due To Rebecca Thomas
If you have questions about Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Rebecca Thomasand the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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