Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roman Anaya (Anaya), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Anaya recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 19, 2023.
The client alleges the financial advisor placed various unauthorized trades in his account. Additionally, the client alleges the financial advisor was to invest approximately $10,000.00 in Google and only invested $2,000.00.