Thomas Edward Stratton-Crooke (Thomas Stratton-Crooke) Suspended from Securities Industry and Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses - Thomas Edward Stratton-Crooke (Thomas Stratton-Crooke) Suspended from Securities Industry and Fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated
From 1989 until Thomas Stratton-Crooke’s firing in 2014, Thomas Stratton-Crooke was licensed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Thomas Stratton-Crooke was subsequently licensed with Ameriprise Financial Services, Inc. According to FINRA’s records, Thomas Stratton-Crooke was fired by Merrill Lynch, Pierce, Fenner & Smith Incorporated on August 6, 2014. Merrill Lynch, Pierce, Fenner & Smith reported to FINRA that Thomas Stratton-Crooke’s firing related to conduct including exercising discretion in non-discretionary customer accounts, providing an inaccurate response on an annual employee questionnaire and failing to follow a management directive.
Subsequent to Thomas Stratton-Crooke’s firing by Edward Jones, FINRA investigated Thomas Stratton-Crooke and brought a disciplinary action against Thomas Stratton-Crooke. Thomas Stratton-Crooke was fined $10,000 and suspended for 10 days from the securities and investment banking industry on September 10, 2015. FINRA reports that Thomas Stratton-Crooke consented to the sanctions and to the entry of findings that Thomas Stratton-Crooke executed discretionary transactions in the accounts of customers without prior written authorization from those customers or approval by Thomas Stratton-Crooke’s member firm. FINRA reports that Thomas Stratton-Crooke discussed investment strategies, purchases and sales of products with Thomas Stratton-Crooke’s clients, but exercised discretion in executing those transactions on future dates.
If you lost any money on investments with Thomas Stratton-Crooke, you may be able to recover your losses from Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Ameriprise Financial Services, Inc. This is because Merrill Lynch, Pierce, Fenner & Smith Incorporated and Ameriprise Financial Services, Inc. had a duty to supervise Thomas Stratton-Crooke.
If you lost money on investments with Thomas Stratton-Crooke and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Ameriprise Financial Services, Inc. concerning Thomas Stratton-Crooke’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq, formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Thomas Stratton-Crooke and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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