Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.”
Craig Robert Morrison (CRD #4490109, Registered Representative, Gainesville, Florida)
fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying the findings, Morrison consented to the described sanctions and to the entry of FINRA's findings that he falsified clients’ documents by recycling the clients’ signatures from previously signed documents and pasting their signatures onto new asset allocation change/ fund transfer forms, beneficiary designation forms and a Roth 403(b) salary reduction agreement.
FINRA's findings stated that Morrison pasted the clients' signatures without authorization, for transactions the clients otherwise had approved.
The suspension is in effect from July 1, 2013, through September 30, 2013. (FINRA Case #2012034371401)
Craig Robert Morrison was previously registered with FINRA at the following brokerage firms according to FINRA's BrokerCheck:
CFD INVESTMENTS, INC.
CRD# 25427
KOKOMO, IN
11/2012 - 12/2012
ING FINANCIAL PARTNERS, INC.
CRD# 2882
GAINESVILLE, FL
12/2010 - 10/2012
ING FINANCIAL ADVISERS, LLC
CRD# 34815
WINDSOR, CT
03/2006 - 12/2010
This ends the information obtained on FINRA’s website.
Soreide Law Group, (888) 760-6552, offers a free consultation and portfolio analysis to determine if you have legal grounds to pursue a FINRA arbitration.
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