Former Uhlmann Price Broker Clifford Morgan Barred for Outside Business Activities, Misrepresentations and Failure to Cooperate with FINRA Investigation

The Financial Industry Regulatory Authority (FINRA) recently announced Clifford Morgan (Morgan) entered into a Letter of Acceptance, Waiver and Consent to settle allegations he participated in private securities transactions without providing the required notice to his firm, and in connection with those recommendations made material misrepresentations.Read the full article