Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jan Cummins (Cummins), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cummins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 07, 2021.
Client alleged that he purchased a market-linked CD based on the misrepresentations of his Financial Advisor.