Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Low (Low), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Low 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 $33,358.43 on January 11, 2023.
Trustee alleges that the FA did not advise her that investing funds in Advisory Solutions accounts could result in losing value. Additionally, the client alleges that there was too much risk exposure in the accounts for the investment time horizon and that the FA did not act in her (or the beneficiaries) best interest.