Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jasen Agee (Agee), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Agee 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 $20,000.00 on March 25, 2022.
The client alleges the financial advisor’s advice to move from a Guided Solutions – Flex account to an Advisory Solutions account was negligent and resulted in a tremendous tax liability.