Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Jones (Jones), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $35,000.00 on November 15, 2023.
Cherry-picked investment suspended dividends due to COVID and, to date, has not resumed payments. Asset still has value; however, Claimant is alleging it was not suitable and that he has suffered losses.