Last Updated: February 2025 (Lake Oswego, OR)
Here’s what you need to know about Lake Oswego, OR, stockbroker Keith Morgan:
- Name: Mr. Keith Morgan
- Current Employer: Steward Partners Investment Solutions, Steward Partners Investment Advisory (RIA)
- Prior Employers: UBS Financial Services Inc., Citigroup Global Markets Inc.
- Function: Stockbroker / Financial Advisor
- Primary Location: Lake Oswego, OR
- CRD Number: 3139407
- Can Keith Morgan be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Pending Customer Dispute Seeks Damages of: $274,000
If you’ve sustained damages from Mr. Morgan, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Keith Morgan As Your Stockbroker?
A pending customer dispute has been filed against Keith Morgan regarding allegations of unsuitable investment recommendations related to alternative investments. The claimant alleges that UBS Financial Services Inc., where Morgan was employed at the time, failed to conduct adequate due diligence on a fund of funds, which was unsuitable for investors. Additionally, the complaint states that all relevant risks were not properly disclosed to investors.
- Date of Filing: January 15, 2025
- Case Number: FINRA Arbitration Docket #24-01773
- Alleged Damages: $274,000
- Product Involved: Alternative Investments
Allegations of Broker Misconduct Against Keith Morgan
A customer of Keith Morgan has alleged the following wrongdoing in connection with the handling of investment accounts:
- Unsuitable investment recommendations regarding alternative investments.
- Failure to conduct proper due diligence on alternative investments.
- Omission of material risk disclosures to investors.
Under FINRA Rule 2111, brokers are required to have a reasonable basis for recommending investments, ensuring that they are suitable for their clients based on their financial situation and risk tolerance. Allegations of unsuitable investments may indicate a violation of this rule.
The Financial Industry Regulatory Authority (FINRA) licenses and regulates stockbrokers and brokerage firms. FINRA mandates that brokers and brokerage firms report customer complaints, disputes, and regulatory sanctions. Brokers are also required to disclose certain financial matters such as bankruptcies, judgments, and liens.
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Keith Morgan, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.