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.
Investors might have sustained losses due to securities broker Cynthia Lynn Price (also known as Cynthia Lynn Carlson) [CRD: 2100246, Winter Springs, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Price has been registered with Equitable Advisors LLC since June 1, 2005. See the following information to learn more about the disclosures […]
Investors potentially incurred losses because of securities broker Ian James Prukner [CRD: 5288581, Sarasota, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ian Prukner worked for PFS Investments Inc. from March 22, 2007, to August 9, 2022. Investors are encouraged to continue reading to find out more about the disclosures involving this […]
Investors apparently complained about securities broker Michael Thomas Polito (also known as Thomas Michael Polito) [CRD: 5433956, Dedham, Massachusetts], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polito has been registered with NYLIFE Securities LLC since December 18, 2007, and Eagle Strategies LLC since April 1, 2019. Read on to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com