DID RICHARD THOMAS CAUSE YOU INVESTMENT LOSSES?
Richard Thomas Of Avantax Investment Services, Inc. Has One Customer Complaint For Alleged Broker Misconduct
Who is Richard Thomas of Avantax Investment Services, Inc.?
Richard Thomas (CRD #1455306) who is currently registered with Avantax Investment Services, Inc. and located in Centereach, New York is a subject of one of our many securities industry sales practice abuse investigations.
Richard Thomas Customer Complaint
Richard Thomas has been the subject ofat least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Richard Thomas misled him about the risk and rate of return associated with his account and that no fees would be incurred on his account. Client also alleged his funds remained in cash for the duration of his account and Mr. Thomas did not establish online access to his account after multiple requests. Richard Thomas’ customer complaint was settled in favor of the investors.
Richard Thomas Red Flags & Your Rights As An Investor
Of course, Richard 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 Richard Thomas at Avantax Investment Services on alert to review carefully the activity and performance of their accounts and question whether Richard Thomas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services 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.
File A Claim To Recover Your Investment Losses At Avantax Investment Services, Inc. Due To Richard Thomas
If you have questions about Avantax Investment Services, Inc. and/or Richard Thomas and 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.