Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kruse (Kruse), previously associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kruse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 25, 2024.
Claimant asserts claims for unsuitability, fraud, breach of contract, breach of fiduciary duty and violation of state securities laws in connection with his purchase of shares in a NASDAQ listed health care company. From 2008 to Present.
