Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Jones (Jones), currently associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $25,447.00 on August 14, 2020.
Client alleges in November of 2019, RR withdrew funds from her Rollover IRA and was not aware of the tax consequences.