Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Dolan (Dolan), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dolan 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 $11,000.00 on May 07, 2020.
The client alleges the financial misrepresented that assets would not be sold to convert her Advisory Solutions SEP IRA to an Advisory Solutions IRA account.