Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Arnold (Arnold), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Arnold 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 $5,222.48 on January 24, 2023.
The client alleges an unauthorized withdrawal was made from his Prudential Premier Retirement Annuity on 9/28/2021 which resulted in his monthly income payment being reduced. Additionally, client alleges his payment option was changed from monthly to annually without his authorization.