Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Yancey (Yancey), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Yancey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 07, 2022.
POA alleges FA failed to reallocate assets within variable annuity as instructed, resulting in market loss to the client.