Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jana Thielges (Thielges), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Thielges recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $6,355.08 on January 12, 2024.
Client alleges the Financial Advisor did not exercise his stock election to trade shares of VMW for share of AVGO. Client alleges they should have received fifteen (15) shares stock plus an additional $8,522.88. Instead, the client alleges that all that was received was $16,815.00 and no stock, resulting in an estimated loss of $6,355.08.