Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Morrison (Morrison), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 4 disclosable events. These events include 4 customer complaints, 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 $400,000.00 on June 18, 2024.
Claimants allege violation of FINRA Rules 2111 and 2010, unauthorized trading, breach of fiduciary duty, negligence and breach of contract.