DID JODY ETHAN THOMPSON CAUSE YOU INVESTMENT LOSSES?
Jody Thompson Formerly With Alexander Capital, L.P. Has 3 Customer Complaints For Alleged Broker Misconduct
Jody Thompson Customer Complaints
Jody Thompson has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by Merrill Lynch Pierce Fenner and Smith in favor of the investor. The same brokerage firm denied another customer complaint and the customer took no further action. There is currently one customer complaint in a FINRA arbitration against Jody Thompson’s employer Alexander Capital.
Allegations Against Jody Thompson
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- The power of attorney for the customer in the pending arbitration alleges that the financial advisor exerted undue influence over the customers to influence a bequest in her trust for the financial advisors children.
- Unsuitable investment recommendations of private equity investments.
- Failure to follow the client’s instructions.
Jody Thompson Red Flags & Your Rights As An Investor
Of course, Jody Thompson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jody Thompson at Alexander Capital, L.P. on alert to review carefully the activity and performance of their accounts and question whether Jody Thompson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Alexander Capital, L.P. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Alexander Capital, L.P. Due To Jody Thompson
If you have questions about Alexander Capital, L.P. and/or Jody Thompson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.