Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Dial (Dial), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dial 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 $32,185.62 on June 24, 2022.
Client alleges FA misrepresented the investment risk of a mutual fund which resulted in market loss to the client.