Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Krueger (Krueger), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Krueger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 17, 2022.
Client alleges financial advisor failed to explain the potential tax consequences associated with a mutual fund exchange.