Last Updated: September 2023 (Waco, Texas)
James S. Morrison Investigation Summary
Here’s what you need to know about Waco, Texas stockbroker Jim Morrison:
- Name: Mr. James Stafford Morrison
- Current Employer: Kestra Investment Services
- Previous Firms: NFP Advisor Services, WS Griffith Securities
- Function: Stockbroker / Financial Advisor
- Aliases: Jim Morrison
- Primary Location: Waco, Texas
- CRD #1254375
- Can James Stafford Morrison be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $150,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jim Morrison As Your Stockbroker?
In December 2022, a customer of Kestra Investment Services filed a FINRA arbitration alleging that Jim Morrison recommended an unsuitable oil and gas private placement and that Kestra failed to conduct appropriate due diligence on the product. The customer seeks damages of $150,000 in this currently pending matter.
Allegations of Broker Misconduct Against Jim Morrison
A customer of Jim Morrison has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to Purchase Oil & Gas Private Placement
A customer of Kestra Investment Services has alleged the following wrongdoing in connection with the handling of customer accounts:
- Failure to Conduct Appropriate Due Diligence on Oil & Gas Private Placement
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 Jim Morrison, 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.
