Alaskan Financial Advisor Suspended for Two Years

Have you lost money with financial advisor Margaret Morgan of Anchorage, Alaska?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Margaret C. Morgan. FINRA suspended Margaret Morgan for two years from the securities industry and fined her $10,000.  FINRA alleges that Morgan drafted a letter on behalf of a client, indicating that the client had $9 million available for use, knowing that this was false.  In doing so, FINRA alleges that Morgan violated FINRA Rule 2010.

Margaret Morgan is a financial advisor and registered representative of Key Investment Services from February 2014 to the present.  She works at a branch office in Anchorage, Alaska.  She is also the subject of an investigation by the U.S. Attorney’s office in Alaska.

Brokerage firms like Key Investment Services 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 the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Alaska. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

Click to view:  Morgan FINRA AWC

Click to view:  Morgan BrokerCheck 4.4.16

HAVE YOU LOST MONEY WITH MARGARET MORGAN OR KEY INVESTMENT SERVICES?   

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

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