Rebecca L. Gillette, of Brockport, New York, a stockbroker formerly registered with Edward Jones, has been named in a customer initiated investment related written complaint on April 7, 2017, where the customer requested more than $5,000.00 in damages based upon allegations that Gillette poorly advised the customer in regard to the customer’s investment account contributions.
Maybe the customer should have keep track of their own contributions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on January 5, 2009, a customer filed an investment related written complaint involving Gillette’s conduct, in which the customer requested $5,000.00 in damages based upon allegations that she effected overly aggressive mutual fund transactions in the customer’s account that were not in line with the customer’s income needs and age.
Is not that always the case. 2009 is ancient history.
However, Gillette was terminated by Edward Jones on January 14, 2016, based upon allegations that she effected orders in customer accounts in a manner which violated the firm’s policies. The firm further alleged that she never obtained authorization to engage in the switching of investments, and omitted commissions that she generated in connection with effecting transactions in the customer accounts.
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