Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Green (Green), previously associated with Edward Jones, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Green recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 17, 2023.
Without admitting or denying the findings, Green consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA. The findings stated that this matter originated from FINRA’s review of Green’s Form U5 that his member firm filed that stated, in part, that he executed an order in a client account without speaking to the client.