Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Cross (Cross), previously associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one tax lien, alleging that Cross recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 05, 2025.
Respondent Cross failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.
