Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 14, 2018 indicate that Colorado-based Summit Brokerage Services broker/adviser Thomas Von Reckers has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Reckers (CRD# 704779).
Thomas Von Reckers has spent 38 years in the securities industry and has been registered with Summit Brokerage Services in Westminster, Colorado since July 2018. Previous registrations include Wells Fargo Advisors Financial Network in Lakewood, Colorado (2011-2018); Wells Fargo Advisors in Denver, Colorado (2008-2011); AG Edwards & Sons in Boulder, Colorado (2004-2008); Quick & Reilly in New York, New York (2002-2004); Morgan Stanley DW in Purchase, New York (2000-2002); Merrill Lynch in New York, New York (1999-2000); Prudential Securities in New York, New York (1984-1999); and Merrill Lynch (1980-1984). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 27, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 5, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 15 (Foreign Currency Options Examination), which he obtained on August 14, 1996; Series 3 (National Commodity Futures Examination), which he obtained on June 27, 1990; Series 5 (Interest Rate Options Examination), which he obtained on December 12, 1981; Series 7 (General Securities Representative Examination), which he obtained on February 16, 1980; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on February 14, 1992. He is a registered broker and investment adviser with nine US states: California, Colorado, Florida, Idaho, Maryland, New York, South Carolina, Texas, and Washington.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.
In October 2018 a party of customers alleged Thomas Von Reckers, while employed at Wells Fargo Advisors Financial Network, breached his fiduciary duty, committed fraud, engaged in elder abuse, and made misrepresentations regarding loan products. The customers are seeking damages in excess of $500,000 in the pending complaint.
In 2013 a customer alleged Thomas Von Reckers, while employed at Wells Fargo Advisors, executed excessive fees and did not properly inform her about fees. The customer sought $12,000 in damages in the complaint, which was denied.
If you or someone you know has complaints regarding Thomas Von Reckers, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.