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Expert Review

Thomas Marx: Is He Charged by SEC or Not? Uncovering the Truth! (Update 2024)

1

Who is Thomas Marx (CRD#: 1417680)?Everything you need to know about Thomas and their accolades

Thomas is a financial advisor working out of Chicago, Illinois. Marx works with William Blair. They have spent their whole employment at William Blair. Marx holds Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is registered to advise clients in Illinois.

2

About William Blair:History, achievements, leadership, lawsuits, & disputes

The American international independent investment bank and financial services provider William Blair & Company (“William Blair”) specializes in investment banking, asset management, and private wealth management. There are 1,700 open positions and $17 billion in reportable assets within the company right now.

The business, which has its headquarters in Chicago, Illinois, operates in more than 20 offices and is independent and employee-owned. It was founded in 1935. Five CEOs or managing partners have served as the company’s leaders; three of them are still employed there. The company’s executive committee is presided over by John Ettelson, who has been president and CEO since 2004.

What is FINRA? 

FINRA, which stands for the Financial Industry Regulatory Authority, is a government-approved organization responsible for protecting American investors. Its primary objective is to maintain fairness and integrity within the broker-dealer industry, promoting a safe and trustworthy environment for all market parties.

History

Founded in 1935 Investment banking firm William Blair & Company has its main office in Chicago, Illinois. The company offers assistance with corporate recapitalizations, leveraged buyout deals, fairness opinions, and mergers and acquisitions. Consumer and retail, financial services, energy, healthcare, manufacturing, industrials, and technology sectors are just a few of the industries that William Blair & Company serves.

18/12/2023 Update
As of now, Thomas Marx has not responded, nor has she apologized for her misdeeds. She has ignored our efforts to highlight the problems faced by her victims. Furthermore, she has only focused on propagating her fake PR.
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Thomas Marx Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, and litigation against Thomas

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

FINRA’s BrokerCheck

BrokerCheck report of Thomas Marx includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.

THOMAS STANLEY MARX – Broker at WILLIAM BLAIR (finra.org)

SEC Litigations & Forms

Thomas Marx

Source: Thomas Marx – SEC Site Search Search Results

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Thomas Marx Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against Thomas

There might be more pending lawsuits against Thomas Marx which are not listed on these directories. Lawsuit files are often deleted from online directories. So, if you cannot find any lawsuits against Thomas Marx on these websites, you can contact the local authorities and check if they have a physical copy of any cases.

5

Thomas Marx Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against Thomas (if available)

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Thomas using the websites down below:

You can contact the law firms mentioned above if facing issues with Thomas Marx or any financial advisor.

6

Better Alternatives to Thomas Marx (By Experts):Find the top 3 alternatives to Thomas

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
Screenshot 2023 05 23 at 11.26.30 PM

Manages Assets Worth

  • $714,587,898,072

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals
1625686851535

Manages Assets Worth

  • $173,418,270,044

Services

  • Financial planning
  • Portfolio management
  • Portfolio assessment
Screenshot 2023 05 23 at 11.45.48 PM

Manages Assets Worth

  • $46,803,858,104

Services

  • Portfolio management

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