RedFlag, Allegation and/or Complaint against BEN TILLMAN MORRIS
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.
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