Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Roscoe (Roscoe), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Roscoe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 23, 2024.
Client alleges his financial advisor sold more assets than necessary to fulfill his rmd and invested the proceeds and his emergency cash into positions he did not authorize.