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Trevor Morris Terminated by UBS Financial

Trevor Morris (CRD #: 340643) has been fired by Trevor Morris following allegations. This disclosure appears on his BrokerCheck record, accessed on October 9, 2023. Keep reading for more details.

On August 17, 2023, UBS Financial Services fired Trevor Morris following allegations that he violated firm policies by taking trading instructions from unauthorized parties. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Taking trading instructions from unauthorized parties may violate this rule. 

Background Information 

Trevor Morris has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 
  • PC – AMEX Put and Call Exam 
  • Series 40 Registered Principal Examination 

During his 53 years of experience, Trevor Morris has registered with two firms: 

  • UBS Financial Services (CRD #: 8174) 
  • The Seidler Companies Incorporated (CRD #: 3911) 

Kurta Law Can Help

If you worked with Trevor Morris and 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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