Thomas W. O’Brien, a financial advisor for the brokerage firm of
Raymond James & Associates, Inc., is the subject of a recently-filed
customer complaint alleging $5 million in damages.
The customer complaint, which was filed as an arbitration with the Financial
Industry Regulatory Authority (FINRA), alleges, among other things, breach
of contract, fraudulent concealment, overconcentration, unauthorized trading,
and failure to supervise.
Mr. O’Brien works at a Raymond James office in Shreveport, Louisiana.
According to regulatory records, he has worked for Raymond James since
February 2013. Prior to that, he worked for the brokerage firm of Morgan
Keegan & Co., Inc.
If you are a current or former customer of Mr. Whitmeyer and have questions
about investments that he sold to you, please
call the experienced securities arbitration lawyers at the law firm of
Meyer Wilson today. Since 1999, they have represented more than 1,000 investors throughout
the U.S. and recovered more than $300 million on behalf of their clients.