What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: June 29, 2016

Did you lose money with Kory Keath? The Financial Industry Regulatory Authority (FINRA) brought a regulatory complaint against her, alleging that she violated FINRA rules when she failed to disclose to Edward Jones that her daughter and grandson were named as beneficiaries of a customer’s trust. A customer also allegedly paid for her trip to Egypt in 2010. Keath was a financial advisor and registered representative of Edward Jones from 1995 through April 2015. She worked at an Edward Jones’ branch office in Enumclaw, Washington. She was terminated from Edward Jones because of the transgressions described above. Edward Jones had a responsibility to reasonably supervise her while she was employed with them. Because they did not, the firm may be liable for financial losses. Please call us today to find out how you may be able to sue Edward Jones in the Financial Industry Regulatory Authority (FINRA) arbitration process. The call to us is free with no obligation.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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