Last Updated: September 2023 (South Norwalk, CT)
David Grant Morgan Investigation Summary
Here’s what you need to know about South Norwalk, CT, stockbroker David Grant Morgan:
- Name: Mr. David Grant Conrad Morgan
- Current Employer: Ceros Financial Services
- Previous Firms: National Securities Corp., National Asset Management
- Function: Stock Broker/ Financial Advisor
- Aliases: D. Grant Morgan, Joseph Edward Schepise
- Primary Location: South Norwalk, CT
- CRD 2035526
- Can David Grant Morgan be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $30,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With David Grant Morgan As Your Stockbroker?
David Grant Morgan discloses 3 prior customer disputes including:
In 5/2021 a customer of National Securities Corp. was paid $30,000 to resolve allegations that David G. Morgan made an unsuitable recommendation causing damages.
Allegations of Broker Misconduct Against David Grant Morgan Customers of David Grant Morgan have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by David Grant Morgan, contact us for a complimentary consultation with an experience 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.