Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Thomas North has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. North (CRD# 723949).
Thomas North has spent 37 years in the securities industry and has been registered with Wells Fargo Clearing Services in Carmel, California since 2012. Previous registrations include Merrill Lynch in Carmel, California (2005-2012) and Morgan Stanley DW in Purchase, New York (1980-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 8, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 8, 1980; Series 5 (Interest Rate Options Examination), which he obtained on April 30, 1982; and Series 7 (General Securities Representative Examination), which he obtained on October 18, 1980. He is a registered broker and investment adviser with 15 US states and territories: Arizona, Arkansas, California, Colorado, Hawaii, Maryland, Massachusetts, Montana, Nevada, New York, Oklahoma, Oregon, Pennsylvania, Texas, and Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints.
In June 2018 a customer alleged Thomas Roderick, while employed at Wells Fargo Clearing Services, over-concentrated the portfolio in unsuitable investments. The customer is seeking unspecified damages believed to exceed $5,000 in the pending complaint.
In 2013 a customer alleged Thomas Roderick, while employed at Merrill Lynch, recommended unsuitable investments and misrepresented material facts regarding hedge funds. The customer sought $358,000 in damages in the complaint, which was denied.
In 2004 a customer alleged Thomas Roderick, while employed at Morgan Stanley DW, engaged in common law and statutory violations stemming from unsuitable transactions in an account managed by a third party investment manager. The customer sought $77,000 in damages in the complaint, which was denied.
If you or someone you know has a complaint regarding Thomas Roderick, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.