Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Logan Smith (Smith), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 21, 2022.
Client alleges he was authorized to give trade instructions on his late wife’s account, and, thus the financial advisor should have liquidated assets per his request. He additionally alleges market loss.