Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Warner (Warner), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 $21,327.99 on September 19, 2022.
The client expressed dissatisfaction with the recommendations she received while enrolled in Schwab Wealth Advisory from January 2020 to July 2022 and requested reimbursement of fees in the amount of $21,327.99.