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Plaintiff, deceased client's wife, alleges that on or about October 14, 2019, her Defendant son persuaded his father, whose mental capabilities were diminished by age and mental condition, to change Edward Jones accounts in his name to make the Defendant son the sole beneficiary and delete Plaintiff as the primary beneficiary. Plaintiff further alleges that on or about July 17, 2019, she filed for divorce from decedent and Oklahoma's automatic temporary injunction should govern all accounts held by the decedent. Plaintiff alleges that Edward Jones violated its duty of care by facilitating the Defendant son and decedent's alterations to the decedent's accounts while the decedent had diminished capacity and in violation of longstanding Oklahoma domestic relations law in the form of the automatic temporary injunction.
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
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.
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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.