Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Souza (Souza), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Souza recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,167.07 on February 26, 2025.
Claimant alleges registered representative did not adequately disclose federal tax withholding consequences associated with the transition of an IRA to an advisory account.
