Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Borich (Borich), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Borich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 07, 2020.
Client alleges financial advisor did not disclose the commissions. Client further alleges, poor recommendation and poor advice from financial advisor regarding his December 2019 equity purchases.