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Jeffrey Morrison Named in Dispute Alleging Negligence

Jeffrey Morrison (CRD #: 3200399), a broker registered with LifeMark Securities Corporation, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on May 7, 2025. Keep reading to learn more about his alleged conduct as a broker.

Investor Dispute

On March 3, 2025, Jeffrey Morrison was named in a dispute alleging negligence and negligent supervision with regard to investments in an alternative product made from November 2019 to March 2020. This pending dispute seeks $100,000 in damages.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firms must appoint supervisors and provide them with Written Supervisory Procedures (WSPs) to follow.

What is broker negligence?

Brokers may act in many negligent ways. Common examples include unsuitable investment recommendations, misrepresentations or omissions of fact, and excessive trading.

Investors who believe their losses are the result of broker negligence may be able to recover their funds by pursuing FINRA arbitration. 

Background Information

Jeffrey Morrison has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Jeffrey Morrison is a registered broker in six states and a registered investment adviser in New Jersey.

He has also worked for the following firms:

  • Hornor, Townsend & Kent (CRD#:4031)
  • 1717 Capital Management Company (CRD#:4082)
  • AXA Advisors (CRD#:6627)
  • The Equitable Life Assurance Society of the United States (CRD#:4039)

Kurta Law Can Help

If you worked with Jeffrey Morrison and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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