BEN TILLMAN MORRIS at SANDERS MORRIS HARRIS LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1722267
BEN TILLMAN MORRIS is an Investment Adviser, associated with SANDERS MORRIS HARRIS LLC located at HOUSTON, TX. BEN MORRIS’s Central Registration Depository (CRD) number is 1722267 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for BEN MORRIS

    • Event Date: 4/15/2015
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: A NON-CLIENT INDIVIDUAL CONTACTED THE FIRM ON AN UNSOLICITED BASIS SEEKING TO BUY SHARES OF AN ENERGY COMPANY. THE PERSON PURPORTEDLY PURCHASED SHARES IN THE COMPANY FROM ANOTHER BROKER-DEALER. FOR UNKNOWN REASONS, HE ALLEGES THE SMH REPRESENTATIVE SHOULD HAVE CONVEYED INFORMATION RELATED TO POSSIBLE FUTURE EARNINGS AND OPERATIONS OF THE COMPANY. THE FIRM BELIEVES THE NON-CLIENT’S CLAIM IS FRIVOLOUS AND DENIES THAT IT HAS ENGAGED IN ANY DUBIOUS CONDUCT.
    • Settlement Amount: $2,150,000.00
    • Arbitration Docket Number:


Should I file a FINRA complaint against brokers like BEN TILLMAN MORRIS?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by BEN TILLMAN MORRIS’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About BEN TILLMAN MORRIS

What is BEN MORRIS's Central Registration Depository (CRD) Number?

1722267

Which firm is BEN TILLMAN MORRIS associated with?

SANDERS MORRIS HARRIS LLC

Where is BEN MORRIS located?

600 TRAVIS, HOUSTON, TX, 77002

Where can I find more details about BEN MORRIS's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/20580 to read a detailed report for SANDERS MORRIS HARRIS LLC

Are there any disclosures, allegations or complaints filed against BEN TILLMAN MORRIS?

Yes. There are disclosures, allegations, or complaints filed against BEN TILLMAN MORRIS. Click here to view all details

Where can I download a detailed FINRA report for BEN MORRIS?

Click here to download a detailed FINRA report for BEN MORRIS

Is it safe to do business with BEN TILLMAN MORRIS?

We’re not sure. Please research BEN MORRIS’s disclosures, allegations and complaints before taking a decision


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