Mark Allen Watts of New Haven Indiana a stockbroker currently registered with Edward Jones is the subject of a customer initiated investment related written complaint which settled on January 31, 2018 to resolve allegations that the customer was poorly advised by Watts concerning the placement of funds in a 529 Plan.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Watts has been identified in two more customer initiated investment related disputes pertaining to accusations of his violative conduct while employed with Edward Jones. Specifically, on February 25, 2003, a customer filed an investment related complaint involving Watts’ activities in which the customer requested at least $5,000.00 in damages supported by allegations of unwarranted investment losses.
On October 29, 2008, another customer filed an investment related complaint concerning Watts’ conduct where the customer sought $20,000.00 in damages based upon accusations of investment losses pertaining to the liquidation of the customer’s annuity. The customer further contended that she was recommended a variable annuity that was not suitable for her given her interest in investing in a fixed annuity.
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