DID KEITH MORGAN CAUSE YOU INVESTMENT LOSSES?

Keith Morgan of Steward Partners Investment Advisory, LLC and formerly with UBS Financial Services Inc. and Citigroup Global Markets Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

About Keith Morgan of Steward Partners Investment Advisory, LLC?

Keith Morgan (CRD #3139407), based in Gainesville, Georgia, is currently registered with Steward Partners Investment Advisory, LLC since May 1, 2023, and with Steward Partners Investment Solutions, LLC since 2010. Morgan has also been affiliated with UBS Financial Services Inc. and Citigroup Global Markets Inc. during his career. He is licensed in 11 U.S. states and registered with 1 self-regulatory organization (FINRA).

Keith Morgan Customer Complaints and Reviews

Closed Complaint:

• Date Received: March 18, 2025
• Firm Involved: Steward Partners
• Allegations: Client alleged unauthorized sales that resulted in market losses.
• Resolution: Complaint was reviewed and denied by the firm, with no trading activity confirmed during the alleged period.
• Status: Closed – No Action Taken
• Alleged Damages: $9,000

Pending Complaint:

Alleged Damages: $274,000

Date Received: January 15, 2025

Firm Involved: UBS Financial Services Inc.

Allegations: Failure to conduct adequate due diligence on a fund of funds investment from 2010 to 2023; claimant alleges the investment was unsuitable and lacked proper risk disclosures.

Product Type: Alternative Investments

Status: Pending – FINRA Arbitration (Case No. 24-01773)

Allegations Against Kyle Tisone

• A customer dispute was filed on January 17, 2025, alleging:
• Unauthorized trading in an advisory account
• Misrepresentation of risks associated with an options strategy
• Product Types Involved: Common & Preferred Stocks, Options
• Alleged Damages: $1,000,000
• Firm Response: Complaint was denied
• Status: Closed – No Action Taken

Keith Morgan Red Flags & Your Rights As An Investor

Of course, Keith Morgan has not admitted to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or a customer complaint is still pending, the allegations made by clients serve as red flags which should prompt all current and former customers of Keith Morgan at Steward Partners and UBS Financial Services Inc. to closely examine the activity in their accounts. Even when a claim is denied or closed, serious allegations—especially related to suitability and due diligence failures—can indicate potential problems in the handling of investor funds. These issues may also raise questions about the adequacy of the firm’s supervision over its advisors. If these red flags raise concerns for you, we encourage you to explore your legal rights as an investor.

File A Claim To Recover Your Investment Losses at Steward Partners Due to Keith Morgan

If you have questions about Steward Partners Investment Advisory, LLC, UBS Financial Services Inc., and/or Keith Morgan and the management or performance of your investments, please contact Attorney Pearce for a free initial consultation via email or Toll-Free at 1-800-732-2889.

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