October 22, 2025
The Securities Lawyers at Halling & Cayo, S.C. are interested in talking to customers that believe that they may have potential claims against Thomas Francis Shumosic (CRD#1913737 ) related to securities recommended or sold to you. Previously Reported Complaints include:
Claim(s) Made Against Thomas Francis Shumosic:
Claim Date: 10/22/2025
“Former client alleges that the representative failed to disclose the surrender charges and additional fees associated with an annuity.”
This claim, as of this posting, is currently Closed-No Action with a claim amount of $17,000.00 .
See more information on FINRA’s BrokerCheck site for Thomas Francis Shumosic .
Did you have a negative experience with Thomas Francis Shumosic?
If you had a negative experience or issue with Thomas Francis Shumosic and KESTRA INVESTMENT SERVICES, LLC from WILMINGTON, DE, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Thomas Francis Shumosic, and ensure that they follow all securities rules and regulations and internal policies. Liability for the losses sustained by its customers extends to the Brokerage Firm that the broker was registered with at the time of the breach of his/her standard of care. (We explain in more detail in our video, Do you dare sue your broker? .)
Recovery can often depend on finding a lawyer that “specializes in securities complaints” as the SEC reminds investors. (See more information in our video, How to file a complaint against a Financial Advisor .) If you are a former customer of Thomas Francis Shumosic and KESTRA INVESTMENT SERVICES, LLC and have incurred investment losses, please contact the Securities Lawyers . You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible. Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .
Contact The Securities Lawyers
Sean M. Sweeney is a shareholder at Halling and Cayo , a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.
He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.
Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.
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