Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Mcgrath (Mcgrath), previously associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcgrath recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 10, 2023.
Edward Jones alleges Mr. McGrath violated the 12-month Non-Solicitation Agreement on or about December 2022. Edward Jones further alleges Mr. McGrath has made disparaging remarks about the Firm and its employees to the Firm’s clients.