What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: December 9, 2016

Did you lose money with Nick Morgan, formerly of First Heartland Capital? Stoltmann Law Offices is investigating Mr. Morgan for securities violations. Allegedly, he had customers sign blank forms on at least 26 occasions and kept them in files, which is in violation of securities laws. For this, he was fined $5,000 and suspended from the industry for five months by the Financial Industry Regulatory Authority (FINRA). Brokerage firms have the responsibility to adequately supervise all representatives who are registered through their firm. They also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as firm policies. If the firm does not, it can be liable for investment losses. Please call us today to speak to an attorney if you lost money with Nick Morgan. We may be able to help you recover your losses by bringing legal action against First Heartland Capital on a contingency fee basis.

Nick Morgan was registered with Signator Investors in Ridgeland, Mississippi from April 2000 until February 2015 and Kovack Securities in Ridgeland from February 2015 until June 2015. He is currently registered with First Heartland Capital in Jackson, Mississippi and has been since September 2015. He has one customer dispute against him.

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