Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Nunez (Nunez), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Nunez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 16, 2022.
Client alleges FA suggested and had her invest in securities that were not appropriate for her based on her stated risk tolerance and circumstances.