Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Petty (Petty), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Petty 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 $12,000.00 on April 06, 2021.
Client alleges a failure to follow instructions to liquidate quarterly interval fund on December 31, 2020, and that the subsequent liquidation of the fund on March 31, 2021 resulted in a loss to her of over $12,000.