Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Phelps (Phelps), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Phelps recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 29, 2022.
The trustees of the deceased client allege they were not informed of the capital gains generated from the liquidation of the Advisory account and the tax consequences that resulted.