MINDEY KAREN MORRISON

MINDEY KAREN MORRISON is currently employed as a Broker and/or Investment Adviser at THE M & A GROUP LLC located at 900 IDS CENTER, 80 SOUTH 8TH STREET, MINNEAPOLIS, MN, 55402.

MINDEY KAREN MORRISON has worked at THE M & A GROUP LLC since May 30, 2017

Disclosure History

MINDEY KAREN MORRISON has 3 Disclosure Event(s).

Date: November 09, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: ACCOUNT WAS CLOSED AND PAID AS AGREED.

Date: March 14, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: ACCOUNT WAS CLOSED AND PAID AS AGREED.

Date: September 08, 2003
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED THAT FC FAILED TO FOLLOW INSTRUCTIONS - 10/12/2000 TO 3/1/2001. DAMAGES UNSPECIFIED.
Broker Comment: THE CLAIM WAS DENIED.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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