Thomas Ward Stratton (Thomas Stratton) was a Florida broker. Thomas Stratton was registered with World Choice Securities, Inc. in Melbourne, Florida from 2004 to 2021. According to FINRA’s BrokerCheck Report, Thomas Stratton has 4 disclosure events. One of the events included a regulatory action by FINRA imposing a permanent bar concerning allegations of “potential misuse of customer funds … and misrepresentations” related to non-disclosed Outside Business Activities.

According to his BrokerCheck Report, Thomas Stratton was also the subject of a notable customer complaint as follows: 

July 2016 – Customer Dispute concerning Client allegations of “unsuitable management of accounts/over-concentration/Margin/Breach of Fiduciary Duty.”

Alleged Damages: $96,334.00. Status: Settled. Total Settlement: $50,000.00.

BrokerCheck by FINRA is a free tool to research the background and experience of financial brokers, advisers and firms. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. To review Thomas Stratton’s report click here: 

Thomas W. Stratton's BrokerCheck Report 

The Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance, Waiver, and Consent to Thomas Stratton stating that: 

Pursuant to FINRA Rule 9216, Respondent Thomas W. Stratton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

This matter originated from a tip to FINRA's Securities Helpline for Seniors.

Stratton refused to provide information and documents requested by FINRA pursuant to

FINRA Rule 8210.

A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to "observe high standards of commercial honor and just and equitable principles of trade."

Did You Invest with Thomas Stratton, former broker of World Choice Securities, Inc.? 

If you have invested with Thomas Stratton, you should contact Riera Law immediately for a FREE Consultation.

Financial Advisors (Brokers) have a regulatory obligation to recommend only suitable investments based on the specific needs of the client, and a full understanding of the product and their risks. Brokerage firms (broker-dealers) are responsible for establishing a supervisory system to keep a close watch on broker’s sales activities and dealings with their clients to ensure that the financial advisors’ meet their regulatory obligations.

Investors can file FINRA arbitration claims against the brokers and hold them responsible for your losses. Broker-dealer firms are subject to the securities laws, and as such, they are responsible for conducting proper due diligence on investments recommended to investors, and brokers must make suitable recommendations. 

If you invested with Thomas Stratton, you may have a potential securities arbitration claim involving Thomas Stratton sales activities and his employers may be liable for failure to properly supervise his activities. 

When brokers abuse client accounts or conduct transactions that violate securities laws, such as making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

Contact Riera Law Firm Today for a FREE case evaluation at 305-204-9779. We work on a contingency fee basis, meaning our firm is committed to fighting on your behalf and receives a fee Only if we recover money for you. 

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Put the power of a former SEC Prosecutor behind you!  Riera Law is committed to fighting on your behalf. It’s imperative that you take immediate action if you or your loved ones are concerned about possible broker misconduct and investment fraud, it could be serious. Call us Today for a FREE Consultation at 305-204-9779, or fill out our Contact Form on our website and tell us what happened.