Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacqueline Fix (Fix), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Fix recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 23, 2024.
CLIENT ALLEGES THAT THE DUPLICATE RMD DISTRIBUTION IMPACTED THE TAX ADVANTAGE PROVIDED BY HIS ROTH IRA. THIS ACTIVITY OCCURRED BETWEEN DECEMBER 11, 2024, AND DECEMBER 23, 2024.
