Jon Lewis Bowles of Pasadena, California, a stockbroker registered with FSC Securities, Inc., is the subject of a customer initiated investment related arbitration claim, where the customer sought $50,000.00 in damages based upon allegations of violation of FINRA Rules, violation of state and federal laws, breach of contract, breach of fiduciary duty, misrepresentation, suitability and fraud in regard to real estate investment trust, business development company and fixed annuity investments. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02265 (Aug. 24, 2017).
FINRA Public Disclosure reveals that Bowles has been identified in two more customer initiated investment related disputes pertaining to allegations of Bowles’ improper conduct while employed with Citicorp Investment Services and Citigroup Global Markets Inc. Specifically, on July 13, 2005, a customer filed an investment related written complaint pertaining to Bowles’ conduct, in which the customer requested $5,827.00 in damages supported by accusations of the failure to effect mutual funds transactions in accord with the customer’s financial strategy, and the failure to make sure that the customer’s monthly payment requirements were honored.
Subsequently, on February 27, 2009, a customer filed an investment related written complaint involving Bowles’ conduct, alleging that the customer’s instructions had not been followed concerning structured products and foreign debt investments.
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