Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Galloway (Galloway), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Galloway 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 $28,000.00 on December 16, 2022.
Client alleges FA did not tell them about tax consequences resulting from the sale of a variable annuity.