Articles Tagged with William Morris

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Morris (Morris), currently associated with Cape Securities 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 $200,000.00 on June 23, 2025.

The Claimant alleges that she made investments in GWG Holdings, Inc. (“GWG”) L Bonds at the recommendation of William Morris, a registered representative at Cape Securities. On February 5, 2021, she invested $100,000 in 2-year L Bonds and on  March 9, 2021, she invested $50,000 in 3-year L Bonds and $50,000 in 7-year L Bonds. Just over a year after her investments, GWG filed for bankruptcy on April 20, 2022. The Claimant alleges that she has suffered a loss and has been damaged by the recommendation made by Mr. Morris.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Morris (Morris), currently associated with Cape Securities 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 $200,000.00 on June 23, 2025.

The Claimant alleges that she made investments in GWG Holdings, Inc. (“GWG”) L Bonds at the recommendation of William Morris, a registered representative at Cape Securities. On February 5, 2021, she invested $100,000 in 2-year L Bonds and on  March 9, 2021, she invested $50,000 in 3-year L Bonds and $50,000 in 7-year L Bonds. Just over a year after her investments, GWG filed for bankruptcy on April 20, 2022. The Claimant alleges that she has suffered a loss and has been damaged by the recommendation made by Mr. Morris.