Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Morris (Morris), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on June 15, 2021.
The customer alleges that a transaction in an alternative product was a poor recommendation.