DID THOMAS FRANCIS SHUMOSIC CAUSE YOU INVESTMENT LOSSES?
Thomas Shumosic Of Kestra Investment Services, Kestra Advisory Services And Formerly With Cadaret Grant & Co. Has A Customer Complaint For Alleged Broker Misconduct
Who is Thomas Shumosic of Kestra Advisory Services?
Thomas Shumosic (CRD #1913737) who is currently registered with Kestra Investment Services, Kestra Advisory Services and located in Wilmington, Delaware is a subject of one of our many securities industry sales practice abuse investigations. Prior to Kestra Investment Services and Kestra Advisory Services, Thomas Shumosic was associated with Cadaret Grant & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Thomas Shumosic Customer Complaint
Thomas Shumosic 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 unsuitability and misrepresentation. Thomas Shumosic’s customer complaint was denied and, to date, the customer has not taken any further action.
Thomas Shumosic Red Flags & Your Rights As An Investor
Of course, Thomas Shumosic 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 Thomas Shumosic at Kestra Investment Services, Kestra Advisory Services, and Cadaret Grant & Co. on alert to review carefully the activity and performance of their accounts and question whether Thomas Shumosic has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kestra Investment Services, Kestra Advisory Services, and Cadaret Grant & Co. 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 Kestra Investment Services Due To Thomas Shumosic
If you have questions about Kestra Investment Services, Kestra Advisory Services, Cadaret Grant & Co., and/or Thomas Shumosic 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.