Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Dean (Dean), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dean recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 20, 2023.
The client alleges she informed the financial advisor that she did not want to lose any money, but was not provided money market as an investment option. The client alleges because she was not provided with all the options available to her, she should be reimbursed for any losses incurred.