Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Maricle (Maricle), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Maricle 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 $11,417.00 on December 02, 2021.
The client exchanged American Mutual Funds in his account on 12/20/2020 and alleges that the financial advisor informed him there would be no fees, no commissions and no financial penalties. Additionally, the client alleges the financial advisor made no mention of the potential for tax consequences associated with the exchanges.