gavel on money

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.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Group

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com