Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colleen Bracy (Bracy), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bracy 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 $7,200.00 on November 06, 2024.
The client alleges the financial advisor did not advise client on the transfer limitations of 529 plan accounts.
