Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Jolliff (Jolliff), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Jolliff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 21, 2021.
Client alleges he incurred unintended tax consequences after following the Financial Advisor’s advice in contributing to a SEP IRA and Roth IRA.