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THE CUSTOMER EXPRESSED DISAPPOINTMENT WITH THE PERFORMANCE OF HER MUTUAL FUND INVESTMENTS. SHE DOES NOT ALLEGE ANY SALES PRACTICE VIOLIATION OR ASSERT ANY CLAIM FOR ANY ALLEGED COMPENSATORY DAMAGES.
Broker Comment
THIS MATTER SHOULD NOT HAVE BEEN REPORTED AS A DISCLOSURE EVENT BY EDWARD JONES IN ITS AMENDED FORM U-5. THE LETTER FROM THE CUSTOMER WAS NOT A COMPLAINT. THE CUSTOMER DID NOT SUGGEST THAT THE REP. HAD ENGAGED IN ANY SALES PRACTICE VIOLATION, AND DID NOT CONTAIN ANY CLAIM FOR COMPENSATORY DAMAGES. RATHER, THE CUSTOMER ONLY EXPRESSED HER DISAPPOINTMENT WITH THE PERFORMANCE OF HER MUTUAL FUND INVESTMENT.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.