Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Maria Jimenez (Jimenez), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jimenez 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 $19,809.00 on November 02, 2020.
The client alleges the financial advisor failed to inform her of the tax consequences associated with distributions from annuities in 2018.