Sep 24, 2020 · The SEC's order finds that from at least January 1, 2015 through March 31, 2019, registered representatives at Morgan Wilshire recommended inverse exchange-traded funds to retail brokerage customers without having a reasonable basis for believing the recommendations were suitable for those customers.

Oct 20, 2020 · The SEC claims that from January 1, 2015 to March 31, 2019, certain Morgan Wilshire registered representatives recommended non-leverage, inverse exchange-traded funds (inverse ETFs) to several retail brokerage customers without regard for holding period and without having a reasonable basis to believe these recommendations were suitable.

Jan 20, 2022 · Aalon Rose (also known as Allen Rose), of Garden City, New York, a stockbroker currently registered with Morgan Wilshire Securities Inc., is the subject of a customer initiated investment related arbitration claim where the customer requested $29,479.81 in damages founded on allegations that Rose made misrepresentations to the customer during ...

By making unsuitable recommendations to their customers to buy inverse ETFs, certain Morgan Wilshire registered representatives violated Section 17(a)(3) of the Securities Act.

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Aalon Rose (also known as Allen Rose), of Garden City, New York, a stockbroker currently registered with Morgan Wilshire Securities Inc., is the subject of a customer initiated investment related arbitration claim where the customer requested $29,479.81 in damages founded on allegations that Rose made misrepresentations to the customer during ...

Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.

Oct 2, 2024 · Reviews from MORGAN WILSHIRE SECURITIES employees about MORGAN WILSHIRE SECURITIES culture, salaries, benefits, work-life balance, management, job security, and more.