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Maximilian Morgan Fined by State of Washington

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
July 15, 2025 at 2:08am

Maximillian Morgan (CRD #: 5266876), a broker formerly registered with Matrix Capital Group, was the subject of a state regulatory action, according to his BrokerCheck record, accessed on June 22, 2025. Read on if you have questions about his alleged conduct as a broker.

Washington Regulatory Action

On May 7, 2025, the State of Washington ordered Maximillian Morgan to cease and desist from violations of the Washington Securities Act, alleging that he was the control person of an investment advisory firm that had violated the Act.

The state also ordered Maximillian Morgan to pay a fine of $10,000, disgorgement of $39,872.12, and an additional sanction of $1,000.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What are blue sky laws?

Blue sky laws like the Washington Securities Act are state-level regulations that offer investors an extra layer of protection against securities fraud. They typically also describe which types of investments must register with the state securities board.

Background Information

Maximillian Morgan has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

He previously worked for Matrix Capital Group (CRD#:33364) and Southeast Investments, N.C. (CRD#:43035).

Kurta Law Can Help

If you worked with Maximillian Morgan 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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