Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alyssa Thornton (Thornton), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Thornton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 24, 2023.
The client alleges the financial advisor opened an incorrect account type for an IRA inherited from her husband and that the financial advisor did not discuss tax consequences for taking an early distribution.