Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Financial Advisor Mark Jones (Jones), currently employed by Merrill Lynch, has been subject to at least nine customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Jones’ customer complaints alleges that Jones recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts.
In May 2019, a customer complained that Jones violated the securities laws by alleging that Jones engaged in material misrepresentations. The claim settled in the amount of $70,026.
In February 2014, a customer complained that Jones violated the securities laws by alleging that Jones engaged in unsuitable investment advice, and material misrepresentations. The claim settled in the amount of $26,250.
In April 2002, a customer complained that Jones violated the securities laws by alleging that Jones engaged in unsuitable investment advice. $400,000 in damages were granted.