Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Baughman (Baughman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Baughman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 04, 2020.
The client alleges the FA violated a duty of care by recommending unsuitable investments based upon the client’s stated needs.