INVESTIGATION of THOMAS VON RECKERS of Wells Fargo
Have you lost money with financial advisor Thomas Von Reckers formerly of Wells Fargo?
Israels & Neuman is investigating allegations of former customers related to Thomas Von Reckers, who has worked in Wells Fargo offices in Denver and Lakewood, Colorado. Thomas Reckers’ CRD report, a public record maintained by FINRA, states that Reckers has been the subject of two customer complaints. A recent claim filed in 2018 alleges that misrepresentations were made about loan products and the investment of loan proceeds, including in unit investment trusts (UITs).
Thomas Reckers (CRD# 704779), was a registered representative of Wells Fargo from 2009 to July 2018. He has worked at branch offices in Denver and Lakewood, Colorado. Reckers has also been affiliated with Summit Brokerage Services from July 2018 to the present.
Brokerage firms like Wells Fargo have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and in Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including Colorado. Our attorneys have recovered money for investors against many brokerage firms in the past, including Wells Fargo.
Click to view: Thomas Von Reckers BrokerCheck
If you lost money with Thomas Von Reckers or Wells Fargo, please CONTACT US at 720-599-3505 or 206-795-5798 for a free evaluation of your case.