Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Owens (Owens), previously associated with Gradient Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Owens 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 $100,000.00 on June 22, 2020.
Representative is party to this arbitration which claims firm breach of fiduciary duty as it relates to the supervision of annuity transactions.