Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Morman (Morman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Morman 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 $8,717.77 on January 12, 2023.
The client alleges the financial advisor failed to follow instructions and made unauthorized mutual fund trades.