SAMUEL V MORSE is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 1311 SPRING STREET, SUITE B, GULFPORT, MS, 39501.
SAMUEL V MORSE has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since August 14, 2009
Disclosure History
SAMUEL V MORSE has 2 Disclosure Event(s).
Date: October 14, 2004 Category: Customer Dispute Allegations: CLIENT WROTE, "I TOLD SAM MORRIS THAT I WANTED TO INVEST IN DELTA AIRLINES AND KRISPY CREAM DONUTS. . . . "LATER, I FOUND OUT THAT IN ADDITION TO THE INITIAL PURCHASE OF DELTA AIRLINES, SHARES WERE PURCHASED IN TWO OTHER AIRLINES STOCKS THAT I DID NOT REQUEST." CLIENT FURTHER STATES THAT THE BROKER REFUSED TO EXECUTE HIS ORDER TO SELL IMCLONE STOCK IN 2004. Damage Amount Requested: $60,000.00 Broker Comment: CLIENT MADE ALL TRADING DECISIONS. THE FINANCIAL ADVISOR DENIES ALL CLAIMS
Date: February 20, 1998 Category: Customer Dispute Allegations: CUSTOMER ALLEGED NEGLIGENCE,MISREPRESENTATION, AND UNSUITABILITY. ALLEGED DAMAGES OF$30,000 PLUS INTEREST FOR DEPOSIT THAT WAS CREDITED TO HERMARGIN ACCOUNT THAT SHE WANTED CREDITED TO HER MONEY MARKETACCOUNT AT J.C. BRADFORD & CO. Damage Amount Requested: $68,000.00 Broker Comment: J.C. BRADFORD FOUND THIS COMPLAINT TO BE WITHOUTMERIT AND DENIED THIS MATTER IN IT'S ENTIRETY. ACTIVITY IN THEACCOUNT WAS FOUND TO BE SUITABLE.NOT PROVIDED
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for SAMUEL V MORSE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.