Did Clifford Morgan Cause You Investment Losses?
Clifford Morgan of Chesterton, Indiana submitted a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA for allegedly participating in numerous unauthorized business activities. FINRA found that while associated with Uhlmann Price, Mr. Morgan participated in private securities transactions without written approval from his member firm. Mr. Morgan allegedly referred 20 people to invest in promissory notes in a private trading and financial services company. The referrals totaled to approximately $1.8 million in promissory notes. Mr. Morgan allegedly purchased more than $200,000 of the notes for himself without providing Uhlmann Price written notice or approval of these transactions. Mr. Morgan allegedly solicited an Uhlmann Price customer to invest $25,000 in return for equity stake in a corporate entity Mr. Morgan was affiliated with. Additionally Mr. Morgan allegedly referred another Uhlmann Price Customer to invest $30,000 in a convertible promissory note. FINRA alleged that Mr. Morgan did not receive written authorization to execute any of these outside business activities and therefore violated NASD Rule 3040. In addition to the undisclosed business activities, FINRA also found that Mr. Morgan made several material misrepresentations. FINRA found that Mr. Morgan made material misrepresentations and omissions to potential investors though a document he provided to future clients. The document allegedly falsely stated the transaction history of a corporate entity, overstated its revenue, and inaccurately projected high returns with low risk.
Do You Need An Indiana Securities Misrepresentation Attorney?
Indiana has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to make misrepresentations about investing in securities (stocks, bonds, options, mutual funds, REITs, Junk Bonds, Hedge Funds, Structured Products, etc.) they are selling, the strategies they are recommending (margin, short selling, option) and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Indiana securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
Experienced Securities Lawyers Who Represent Investors With Misrepresentation Claims In FINRA Arbitrations Throughout Indiana and Nationwide.
Are you an Indiana investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Indiana stockbroker or investment advisor, misrepresent facts about the securities, investments or strategies they were recommending or otherwise mismanage your investment account? If so, you need representation by experienced, highly-rated and nationally recognized FINRA arbitration attorneys who know FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues.
By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience with investment misrepresentation claims on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and one of the best securities attorneys to recover your investment losses for all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities misrepresentation claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areasbesides securities misrepresentation and stockbroker fraud claims such as stockbroker breach of fiduciary duty, stockbroker negligence, failure to supervise stockbrokers, and unsuitable recommendations by stockbrokers. Attorney Pearce and his staff represent investors throughout Indiana, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
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Free Initial Consultation With Experienced Securities Misrepresentation and Stockbroker Fraud Lawyers Serving Indiana Residents in FINRA Arbitrations
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities misrepresentation, stockbroker fraud, stockbroker misconduct and other investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Indiana citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.