Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edmund Hughes (Hughes), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $210,000.00 on March 08, 2024.
Client alleges representative did not inform her of tax consequences of recommended transaction.