RedFlags, Allegations and Complaints against HAROLD EDWARD MORSE
Disclosure #1 for HAROLD MORSE
-
- Event Date: 3/13/2009
- Disclosure Type: Customer Dispute
- Resolution: Settled
- Allegations: THE CLIENT ALLEGES MISREPRESENTATION OF THE RESERVE YIELD PLUS FUND (RYPQX).
- Damage Amount Requested: $120,100.00
- Settlement Amount: $30,723.22
- Arbitration Docket Number:
- Broker Comment: IN SEPT 08, THE RESERVE FUND ISSUED A PRESS RELEASE INDICATING SOME OF ITS FUNDS WOULD \BREAK THE BUCK.\ SUBSEQUENTLY, THE RESERVE FUND ISSUED INTENTIONS TO LIQUIDATE SOME FUNDS. THIS RESULTED IN SOME POSITIONS, INCLUDING RYPQX, UNAVAILABLE FOR IMMEDIATE REDEMPTION AWAITING THE RESERVE FUND’S LIQUIDATION AND DISTRIBUTION OF FUNDS. TDA PURCHASED THE CLIENT’S REMAINING POSITION IN RYPQX .
Should I file a FINRA complaint against brokers like HAROLD EDWARD MORSE?
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.
Frequently Asked Questions About HAROLD EDWARD MORSE
What is HAROLD MORSE's Central Registration Depository (CRD) Number?
Which firm is HAROLD EDWARD MORSE associated with?
Where is HAROLD MORSE located?
Where can I find more details about HAROLD MORSE's Investment Firm?
Are there any disclosures, allegations or complaints filed against HAROLD EDWARD MORSE?
Where can I download a detailed FINRA report for HAROLD MORSE?
Is it safe to do business with HAROLD EDWARD MORSE?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
