Michael James Thaler Allegedly Engaged in Breach of Fiduciary Duty, Negligence, Negligent Supervision, Breach of Contract, & Violation of FINRA Rules
Michael Thaler allegedly engaged in breach of fiduciary duty, negligence, negligent supervision, breach of contract and violation of FINRA rules and sections of the Virginia Securities Act, according to a Pending Customer Dispute filed on Thaler’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.
The aforementioned pending dispute was filed on December 20, 2018, FINRA states, and is requesting $348,366.85 in damages, FINRA states.
Two more pending disputes filed against Thaler on December 6, 2018 and December 14, 2018, respectively, also allege violations of the Virginia Securities Act, breach of fiduciary duty, negligence, negligent supervision, breach of contract, and violation of FINRA rules, FINRA notes, and are requesting $497,691.76 and $1,132,072.40 in damages, respectively.
Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Michael Thaler’s alleged breach of fiduciary duty, negligence, negligent supervision, and breach of contract. Investors who believe they may have lost money in activity related to Michael Thaler’s alleged breach of fiduciary duty, negligence, negligent supervision, and breach of contract are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
Michael Thaler Has Been Registered at Cambridge Investment Research, Inc. Since 2011
Michael Thaler has three disclosures on his FINRA BrokerCheck Report, and had been registered at Cambridge Investment Research, Inc. in Henrico, Virginia since November 22, 2011, FINRA states.
Thaler has also worked at the following firms:
- Sanders Morris Harris Inc., Richmond, Virginia— November 3, 2008 to November 23, 2011
- QA3 Financial Corp., Richmond, Virginia— December 2, 2005 to October 31, 2008
- National Planning Corporation, Richmond, Virginia— April 30, 1999 to November 29, 2005
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
Securities Lawyer Investigating
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Michael Thaler’s alleged breach of fiduciary duty, negligence, negligent supervision, and breach of contract. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Michael Thaler’s alleged breach of fiduciary duty, negligence, negligent supervision, and breach of contract may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.