Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Erekson (Erekson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Erekson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,400,000.00 on April 28, 2026.
Client alleges the Financial Advisor recommended and executed transactions within her accounts during 2024, including significant realized gains and Roth conversions, resulting in substantial federal and state tax liabilities. Client further alleges the Financial Advisor’s recommendation and actions were not aligned with her stated objectives or guidance from her CPA, and that the tax implications and risks were not adequately disclosed prior to execution. Additionally, client alleges certain transactions May have been executed without proper authorization and that she felt pressured by the Financial Advisor to proceed with additional financial decisions without sufficient tax-planning analysis.