Investors reportedly complained about securities broker James Stafford Morrison (also known as Jim Morrison) [CRD: 1254375, Waco, Texas], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morrison worked for Kestra Investment Services LLC from October 6, 2003, to April 4, 2025. Read below to discover more about the disclosures concerning Morrison.
Evidently, on June 17, 2025, a Kestra Investment Services LLC client filed FINRA Arbitration No. 25-01250 about James Morrison. The client alleged that Morrison made unsuitable recommendations. Because of this, the client allegedly sustained damages connected to direct investments and oil and gas investments. As a result, the client requested $450,000.00 in compensation from Kestra Investment Services LLC or Morrison. This arbitration is pending a resolution.
Specifically, a client of Kestra Investment Services LLC disputed James Morrison’s sales practices by bringing FINRA Arbitration No. 22-02841. Allegedly, Morrison gave unsuitable advice and Kestra failed to perform due diligence on oil and gas investments and direct investments. For this reason, Kestra Investment Services LLC agreed to settle the matter on March 5, 2024, by paying $150,000.00.
Are you concerned regarding investments you made with James Morrison? You should reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. Soreide Law Group helps to recover losses for clients throughout the country. The firm also works on a contingency fee basis and advances all costs. Morrison and brokerage firms Morrison worked for deny all allegations referenced in public disclosures.
One or more investors possibly experienced losses because of securities broker Calvin James Heck [CRD: 1025767, Everett, Washington], based on public information found on FINRA BrokerCheck. Evidently, Heck has worked for Wedbush Securities Inc. in Los Angeles, California, since June 27, 2003, and in its Everett, Washington, office since June 11, 2020. Read on to […]
Investors potentially experienced sales practice violations due to securities broker Gregory John Libby [CRD: 2455485, Paramus, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Libby has been employed with Morgan Stanley at its Paramus, New Jersey branch since June 1, 2009, and continues to be registered with the […]
Investors apparently complained about securities broker Prakash Verma (also known as Mike Panjabi, Ramprakash Panjabi, and Mike Verma) [CRD: 4760483, Leander, Texas], based on disclosures found on FINRA BrokerCheck. Evidently, Verma worked for NYLIFE Securities LLC (CRD#: 5167) from November 17, 2004, to June 2, 2025. Read on to find out more about the disclosures […]
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