Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Biffle (Biffle), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Biffle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 06, 2022.
Plaintiff, as personal representative of client’s estate, asserts claims based on allegations the registered representative failed to follow instructions regarding a beneficiary designation and gave inaccurate information regarding the status of the designation.