Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Stotler (Stotler), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Stotler 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 $5,300.00 on October 31, 2023.
Former client alleges that his Financial Advisor withdrew funds from a Roth IRA which resulted in a 10% penalty as well as taxation on the withdrawal even though the client was clear that he did not want to make any withdrawals that would result in tax consequences.