SHAWN FORREST MORGAN is currently employed as a Broker and/or Investment Adviser at CARY STREET PARTNERS located at 7801 CAPITAL OF TEXAS HIGHWAY, SUITE 310, AUSTIN, TX, 78731.
SHAWN FORREST MORGAN has worked at CARY STREET PARTNERS since November 01, 2013
Disclosure History
SHAWN FORREST MORGAN has 5 Disclosure Event(s).
Date: February 11, 2015 Category: Customer Dispute Allegations: FROM APRIL 2011 TO DECEMBER 2013 CLIENT WAS ENGAGED WITH RIVERSTONE WEALTH MANAGEMENT, INC. HIS ADVISERS AT THAT TIME WERE RAY DERAGON AND SHAWN MORGAN. CLIENT ALLEGES MISREPRESENATIONS ON THE PART OF RIVERSTONE AND ITS ASSOCIATES. THE FIRM AND ITS ASSOCIATES DENY THESE ALLEGATIONS. Damage Amount Requested: $200,000.00 Settlement Amount: $30,000.00 Broker Comment: CLIENT SUBMITTED A CIVIL LAWSUIT WHICH HAS BEEN WITHDRAWN. CLIENT HAS BEEN COMPELLED TO ARBITRATION PER THE AGREEMENT BETWEEN FIRM AND CLIENT. CLIENT SETTLED IN MEDIATION.
Date: March 08, 2011 Category: Customer Dispute Allegations: CUSTOMER GENERALLY ALLEGES THAT THE REGISTERED REPRESENTATIVE MISREPRESENTED THE LIQUIDITY AND THE RISK LEVEL OF STANFORD INTERNATIONAL BANK CDS. Damage Amount Requested: $855,387.00
Date: March 08, 2011 Category: Customer Dispute Allegations: CUSTOMER GENERALLY ALLEGES THAT THE REGISTERED REPRESENTATIVE MISREPRESENTED THE LIQUIDITY AND THE RISK LEVEL OF STANFORD INTERNATIONAL BANK CDS. Damage Amount Requested: $432,878.00
Date: April 26, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATIONS REGARDING THE LIQUIDITY AND SECURITY OF STANFORD INTERNATIONAL BANK CDS. Damage Amount Requested: $424,000.00
Date: January 27, 2010 Category: Customer Dispute Allegations: ALLEGES THAT MR. MORGAN AND THE STANFORD GROUP MISREPRESENTED THE RISK FACTORS AND RECOMMENDED AN UNSUITABLE INVESTMENT IN THE INVESTMENT IN CD ISSUED BY THE STANFORD INTERNATIONAL BANK Damage Amount Requested: $119,408.82
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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