Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Coleman (Coleman), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coleman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 05, 2022.
Client alleged that the Advisor invested the client’s funds in the stock market without the client’s authorization. Allegation Time Period: September 2021 to October 2022