Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Winston Felix (Felix), previously associated with Edward Jones, has at least one disclosable event. These events include one regulatory event, alleging that Felix recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 30, 2025.
Unsuitable recommendation to client to effectuate securities transactions for tax-loss harvesting purposes.