One or more investors possibly experienced losses due to securities broker Thaddaeus Daniel Allen [CRD: 5644772, Topeka, Kansas], according to disclosures on FINRA BrokerCheck. Notably, Allen worked for Edward Jones from April 14, 2009 to August 15, 2022, and is currently registered with Smith Moore Co. as of August 12, 2022. Keep reading to find out more about the complaints involving this broker’s handling of investment accounts.
Specifically, a client filed a complaint about Thaddaeus Allen. Evidently, the client alleged that Allen engaged in unauthorized transactions relating to an investment in gold. As a result, the client allegedly sustained damages connected to miscellaneous investments. Therefore, on January 2, 2025, Edward Jones settled this matter by paying the client $104,000.00 in damages.
Notably, a client of Edward Jones disputed Thaddaeus Allen’s sales practices, according to a complaint. Allegedly, Allen made unsuitable recommendations by placing funds in risky securities when the funds would be needed for a home purchase. It appears that Allen caused the client to sustain damages linked to mutual funds. So, Edward Jones opted to settle the matter on April 19, 2022, by compensating the client in the amount of $7,802.82.
Do you have questions or concerns about investments you made through Thaddaeus Allen? If so, contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer. For years, Soreide Law Group has recouped losses for investors throughout the USA. Also, the firm takes investor cases on a contingency fee basis and advances the costs. Allen and brokerage firms Allen worked for deny allegations of sales practice violations.
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Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
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