According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramona Ivy (Ivy), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ivy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $162,670.00 on February 26, 2025.
Client is upset because her 1099 reported $533k in capital gains regarding a mutual fund exchange from May 2024. Client alleged that the financial advisor indicated that this was not a taxable event and is requesting reimbursement of tax implications.