Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivor Thomas (Thomas), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Thomas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 24, 2024.
The client alleges that since 2018, the Financial Advisor advised them to make Roth contributions despite their eligibility limitations based upon their income.