Were you the victim of Steward Partners Investment Solutions, LLC broker Keith Morgan (CRD# 3139407)? He has been registered with Steward Partners Investment Solutions, LLC in Dalton, Georgia, since 2010, and Steward Partners Investment Advisory, LLC in Dalton, Georgia, since 2023. He was registered with UBS Financial Services Inc. in Lake Oswego, Oregon, from 2007 to 2010.
Keith Morgan Customer Complaints
He has been the subject of two customer complaints, one of which was denied, according to his CRD report:
January 2025. “Time frame: September 2010 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.” The customer is seeking $274,000 in damages, and the case is currently pending. The case was regarding alternative investments. The complaint took place while he was registered with UBS
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Steward Partners Investment Solutions, LLC may be liable for investment or other losses suffered by Keith Morgan’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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