Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hauser (Hauser), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hauser 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 $25,270.00 on April 06, 2020.
Client alleges the liquidation of her variable annuity in 2019 was not suitable.