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Robert Thomas of Client One Securities And Formerly With Broker Dealer Financial Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Robert Thomas of Client One Securities?

Robert Thomas (CRD #1276394) who is currently registered with Client One Securities and located in Scott, Arkansas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Client One Securities, Robert Thomas was associated with Broker Dealer Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Robert Thomas also had his share of regulatory problems with 2 investigations by the NASD n/k/a FINRA that were settled.

Robert Thomas Customer Complaints

Robert Thomas has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that there were too many trades in her father’s account prior to his death. She further alleges that Mr. Thomas liquidated the account without authorization from her after it was transferred to her name. Robert Thomas’ customer complaint was denied and, to date, the customer has not taken any further action.

Robert Thomas Red Flags & Your Rights As An Investor

Of course, Robert 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 Robert Thomas at Client One Securities and Broker Dealer Financial Services on alert to review carefully the activity and performance of their accounts and question whether Robert Thomas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Client One Securities and Broker Dealer Financial 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 Client One Securities Due To Robert Thomas

If you have questions about Client One Securities, Broker Dealer Financial Services, and/or Robert 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.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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