Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Thomure (Thomure), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Thomure recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 05, 2021.
The client alleges the financial advisor’s failure to follow her instructions to rollover distributions from a qualified annuity resulted in an additional tax liability.