{"id":11029,"date":"2023-05-09T17:21:58","date_gmt":"2023-05-09T21:21:58","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11029"},"modified":"2023-05-09T17:21:58","modified_gmt":"2023-05-09T21:21:58","slug":"finra-bars-broker-david-morris-after-failing-to-pay-arbitration-award","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-david-morris-after-failing-to-pay-arbitration-award\/","title":{"rendered":"FINRA Bars Broker David Morris After Failing To Pay Arbitration Award"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11030 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/05\/Blog-Graphics2.png\" alt=\"David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus &amp; Company, Incorporated (CRD# 793) of Chicago, IL. His previous employers include UBS Financial Services Inc. (CRD# 8174), J.P. Morgan Securities Inc. (CRD# 79) and Banc Of America Investment Services, Inc. (CRD# 16361), also of Chicago. \u00a0He has been in the industry since 1996.  Morris was involved in a FINRA arbitration brought by his former employer, UBS Financial Services and UBS Credit Corp. In it, UBS alleged that Morris breached ten promissory notes when he failed to repay them at the time of his termination. (No reason for termination is available, or whether it was voluntary.) Representing himself, Morris denied these allegations and filed a counterclaim. FINRA suspended Morris.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/05\/Blog-Graphics2.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/05\/Blog-Graphics2-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>David Morris (David Jeffrey Morris, CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2522277\" target=\"_blank\">2522277<\/a>) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus &amp; Company, Incorporated (CRD# 793) of Chicago, IL. His previous employers include UBS Financial Services Inc. (CRD# 8174), J.P. Morgan Securities Inc. (CRD# 79) and Banc Of America Investment Services, Inc. (CRD# 16361), also of Chicago. \u00a0He has been in the industry since 1996. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-david-morris-after-failing-to-pay-arbitration-award\/#more-11029\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>David Morris (David Jeffrey Morris, CRD# 2522277) is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus &amp; Company, Incorporated (CRD# 793) of Chicago, IL. His previous employers include UBS Financial Services Inc. (CRD# 8174), J.P. Morgan Securities Inc. (CRD# 79) and Banc Of America Investment Services, Inc. (CRD# 16361), [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-11029","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Bars David Morris After Failing To Pay Arbitration Award<\/title>\n<meta name=\"description\" content=\"David Morris is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus of Chicago, IL.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-david-morris-after-failing-to-pay-arbitration-award\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars David Morris After Failing To Pay Arbitration Award\" \/>\n<meta name=\"twitter:description\" content=\"David Morris is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus of Chicago, IL.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/05\/Blog-Graphics2.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars David Morris After Failing To Pay Arbitration Award","description":"David Morris is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus of Chicago, IL.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-david-morris-after-failing-to-pay-arbitration-award\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars David Morris After Failing To Pay Arbitration Award","twitter_description":"David Morris is a former registered broker and investment advisor whose last known employer was Stifel, Nicolaus of Chicago, IL.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/05\/Blog-Graphics2.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-david-morris-after-failing-to-pay-arbitration-award\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-david-morris-after-failing-to-pay-arbitration-award\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"FINRA Bars Broker David Morris After Failing To Pay Arbitration 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