JAMES PRESTON MORRIS is currently employed as a Broker and/or Investment Adviser at SCOTIA CAPITAL (USA) INC. located at 250 VESEY STREET, NEW YORK, NY, 10281.
JAMES PRESTON MORRIS has worked at SCOTIA CAPITAL (USA) INC. since January 29, 2010
Disclosure History
JAMES PRESTON MORRIS has 2 Disclosure Event(s).
Date: August 27, 2003 Category: Regulatory Initiated By: ILLINOIS Allegations: RESPONDENT'S APPLICATION AS A SALESPERSON IN THE STATE OF ILLINOIS IS SUMMARILY DENIED PURSUANT TO SECTION 8.E(1)(K) OF THE ILLINOIS SECURITIES LAW. Resolution: Other Sanction Details: SUMMARY ORDER OF DENIAL ENTERED AUGUST 27, 2002 IS VACATED.
Date: February 12, 1999 Category: Regulatory
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