Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Morrison (Morrison), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $450,000.00 on June 17, 2025.
Claimant alleges that an unsuitable product was sold.