Kestra Investment Services, LLC broker James Morrison (Jim Morrison) (CRD# 1254375) is accused of energy sector losses. He has been registered with Kestra Investment Services, LLC in Waco, Texas, since 2003.
James Morrison Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
December 2022. “Claimants allege the sale of a private placement was unsuitable and Kestra failed to conduct appropriate due diligence on the product.” The customer is seeking $150,000 in damages, and the case is currently pending. The complaint was related to direct investments in oil and gas securities.
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, Kestra Investment Services, LLC may be liable for investment or other losses suffered by James Morrison’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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