June 6, 2023 – An AWC was issued in which Morgan was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Morgan consented to the sanction and to the entry of findings that she refused to provide information and documents requested by FINRA in connection with its investigation into the circumstances giving rise to a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by her member firm. The findings stated that the firm filed the Form U5 stating that it had discharged Morgan for altering health-related information on an insurance application. (FINRA Case #2023077766801)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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