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Written by 9:25 pm Blog, Securities Fraud Articles

Securities Regulatory Information Regarding Morgan Keegan

The following is a brief breakdown of publicly available information regarding Morgan Keegan & Company, Inc. and its securities sales practices and FINRA regulatory history.

Morgan Keegan is a FINRA registered broker-dealer based in Memphis, Tennessee.  Although Morgan Keegan has a fine reputation in the securities industry, investors should know that the firm does have numerous reportable events on its FINRA Broker Report (or CRD).

According to the firm’s CRD, Morgan Keegan has been named in at least 30 regulatory events related to possible securities fraud violations.  The firm has been the subject of investigations conducted by FINRA, the Massachusetts Division of Insurance, Alabama Securities Commission, and the NYSE Division of Enforcement (among others).

The firm has also been named in over 130 FINRA arbitration claims filed by investors.  These claims involved various investment types and causes of action.  Many of these cases involved the Morgan Keegan funds that were sold by the firm.

The foregoing is but a brief summary of the firm’s FINRA Broker Report.  To access Morgan Keegan’ full CRD, you can visit http://brokercheck.finra.org.

If you have any questions about investments you made with Morgan Keegan, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help.  To contact the firm, please call 312/238-9650.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, please visit https://whitesecuritieslaw.com.

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