WARNING! Investigation of NICK MORGAN–Ridgeland and Jackson, Mississippi
INVESTOR WARNING! Nick Morgan from Ridgeland and Jackson, Mississippi
Have you lost money with financial advisor Nick Morgan of Ridgeland and Jackson, Mississippi? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nick L. Morgan. FINRA suspended Morgan from the securities industry for five months and fined him $10,000 after he allegedly had customers sign blank forms on at least 26 occasions and kept them in his files, in violation of the internal policies of the former firms that he worked for, including Signator Investors and Kovack Securities.
Nick Morgan was a financial advisor and registered representative of Signator Investors from 2000 to February 2015. He also worked with Kovack Securities from February 2015 to June 2015 and with First Heartland Capital from September 2015 to at least December 2016. He worked at branch offices in Ridgeland and Jackson, Mississippi.
Brokerage firms like Signator Investors have the 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 Mississippi in the past, including investors who had arbitration hearings in Jackson and lost money investing in the Morgan Keegan bond funds. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Signator Investors.
Click to view: Morgan, Nick FINRA AWC
Click to view: Morgan, Nick BrokerCheck 12.7.16
IF YOU LOST MONEY WITH NICK MORGAN OR SIGNATOR INVESTORS, PLEASE CONTACT ISRAELS & NEUMAN AT (206) 795-5798 FOR A FREE EVALUATION OF YOUR CASE.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
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