WILLIAM GERARD MORSE

WILLIAM GERARD MORSE is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 11201 NORTH PORT WASHINGTON ROAD, MEQUON, WI, 53092.

WILLIAM GERARD MORSE has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since March 16, 2018

Disclosure History

WILLIAM GERARD MORSE has 2 Disclosure Event(s).

Date: December 13, 2012
Category: Customer Dispute
Allegations: UNSUITABLE INVESTMENT RECOMENDATIONS
Damage Amount Requested: $1,415,000.00
Settlement Amount: $90,000.00
Broker Comment: WITHOUT THE ADMISSION OF LIABILITY, WRONGDOING, FAULT OR DAMAGES WHATSOEVER, AND IN AN EFFORT TO AVOID THE COST OF LITIGATION, THE PARTIES AGREED TO SETTLE THIS MATTER. MR. MORSE IS NOT A NAMED RESPONDENT IN THIS MATTER, HOWEVER HE IS A PARTY TO/SUBJECT OF THE MATTER SINCE HE WAS A REGISTERED REPRESENTATIVE SERVICING THE CLAIMANTS ACCOUNTS AT ALL TIMES RELEVANT.

Date: October 06, 2010
Category: Customer Dispute
Allegations: CLIENT'S SON QUESTIONED THE TRADE AUTHORIZATIONS PROVIDED FOR CERTAIN TRANSACTIONS IN HIS MOTHER'S ACCOUNT.

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 WILLIAM GERARD MORSE, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.