Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kaley Mora (Mora), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mora recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 17, 2020.
The client alleges the FA was mistaken when she advised that the transaction requested would be complete in one day where the transaction did not complete for 2 full business days causing market loss for the additional day.