Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joanna Morgan (Morgan), previously associated with Bankers Life Securities, Inc., has at least one disclosable event. These events include one tax lien, alleging that Morgan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on June 06, 2023.
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 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.
