Thomas Michael Moran (CRD#709062)

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Thomas Michael Moran (CRD#709062) regarding allegations made regarding the following:

Claim(s) Made Against Thomas Michael Moran:

Claim Date: 3/1/2024

“Claimant alleges that beginning sometime in 2018 her Financial Advisor acted contrary to her instructions which resulted in unnecessary tax implications and prevented her account from growing to its full potential.”

This claim, as of this posting, is currently Pending with a claim amount of $1,000,000.00 .

See more information on FINRA’s BrokerCheck site for Thomas Michael Moran.

Were you a client of Thomas Michael Moran?

If you were a customer of Thomas Michael Moran and had a similar issue or experience, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video, Warning signs of a bad financial advisor). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like Thomas Michael Moran, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.

The Securities Lawyers at Halling & Cayo S.C. bring claims on behalf of individual(s) and/or groups of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” (See our video, What are the steps of a FINRA Arbitration.) If you were a customer of Thomas Michael Moran and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.


Contact The Securities Lawyers

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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.