Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Jones (Jones), currently associated with Cetera Investment Services 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 $75,000.00 on September 29, 2022.
Claimant generally alleges suitability, misrepresentation, breach of contract, and failure to supervise.