Tag Archives: Unauthorized Trading

FINRA Permanently Bars Miami Securities Broker Who Cost Morgan Stanley $2.5 Million

On March 19th, 2018, the Financial Industry Regulatory Authority (FINRA) announced that it has permanently barred registered broker Thomas Alan Meier (CRD#: 1146044) from associating with any FINRA member, in any capacity. According to FINRA investigators, Mr. Meier made more than 1,2000 unauthorized trades on at least six different customer accounts. At the time… Read More »