Investors potentially experienced losses due to securities broker Keith Russell Morgan (also known as Keith Morgan) [CRD: 3139407, Dalton, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan worked for Steward Partners Investment Solutions LLC from July 15, 2010, and became registered with Steward Partners Investment Advisory LLC on May 1, 2023. Both entities are located at 105 N Pentz Street in Dalton, Georgia. Below, you can discover more about the disclosures involving Keith Morgan, including details of client allegations and their current status.
Particularly, on March 18, 2025, a Steward Partners client filed a complaint about Keith Morgan. The client alleged that Morgan sold investments that resulted in losses. However, the firm said that no trading activity occurred during the time period in question. The client requested $9,000.00 in compensation from Steward Partners or Morgan. Ultimately, the firm denied this written complaint and closed the case without action on April 17, 2025.
Specifically, a client of UBS Financial Services Inc. contested Keith Morgan’s sales practices by filing FINRA Arbitration No. 24-01773 on January 15, 2025. Allegedly, Morgan made unsuitable recommendations of a fund of funds investment. It appears that Morgan caused the client to sustain damages on alternative investments. Therefore, the client seeks damages from UBS or Morgan in the amount of $274,000.00 in this ongoing matter.
Unsuitable advice involving alternative investments occurs when a financial advisor recommends products that do not align with the client’s risk tolerance, investment goals, or financial profile. These products—such as hedge funds, private equity, and fund of funds—tend to be complex and less transparent than traditional investments. If not properly explained or vetted, they can lead to unexpected and significant losses.
Do you have additional questions or concerns regarding investments you made with Keith Morgan? You can reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney regarding a possible recovery of investment-related losses. Soreide Law Group is experienced with recovering losses for clients located throughout the country, works on a contingency fee basis, and advances all costs. Morgan and brokerage firms Morgan worked for deny any allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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