Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jody Thompson (Thompson), previously associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thompson 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 $1,100,000.00 on April 13, 2020.
POA alleges RR exerted undue influence over customer to influence a bequest in her Trust for RR’s children. Date of activity is unknown.