Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stewart (Stewart), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 $16,416.14 on May 23, 2022.
The client alleges he was not informed of the surrender penalties when he liquidated his annuity.