The NFA issued a Decision following a hearing at which Morris failed to appear. The Hearing Panel found that Morris violated NFA Compliance Rules 2-2(a) and 2-29(a)(1), but dismissed with prejudice the allegation that she violated NFA Compliance Rule 2-29(a)(2). The Hearing Panel permanently barred Morris from NFA membership, associate membership and from acting as a principal of an NFA Member.

On December 23, 2008, NFA issued a Complaint charging Morris (a/k/a Cynthia Goldberg), formerly an associated person at Stonebridge Financial Services LLC, with making deceptive, misleading and high-pressure sales solicitations. On April 27, 2009, Morris filed an Answer to the Complaint in which she denied the material allegations contained therein.

C.R.2-2(a) – CHEAT,FRAUD DECEIVE CUSTOMERS
C.R.2-29(a)(1) – FRAUDULENT COMM. TO PUBLIC PROHIBITED
C.R.2-29(a)(2) – HIGH PRESSURE COMM. PROHIBITED