Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Brown (Brown), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on April 22, 2024.
Administrator of client's estate alleges financial advisor violated his fiduciary duty owed to client by permitting the POA to name himself as sole beneficiary of client's account when he allegedly knew client had diminished capacity.