Brian D. Addis, of Vandalia, Ohio, a stockbroker formerly registered with Edward Jones, has been named in a customer initiated investment related written complaint, which settled on January 5, 2017, for $1,966.95 in damages based upon allegations that Addis effected unauthorized equity transactions in the customer’s account in April of 2016.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on March 20, 2012, a customer filed an investment related written complaint regarding Addis’s activities, in which the customer requested more than $5,000.00 in damages based upon allegations that Addis effected mutual fund trades in the customer’s account on an excessive basis and without first discussing the trades with the customer.
Addis was terminated from Edward Jones on September 21, 2016, based upon allegations that Addis effected orders in customer accounts in violation of Edward Jones’ policy. Since December 19, 2016, he has been registered with Cantella & Co., Inc.
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