Have you ever lost money with Alan Price, a financial advisor? We’re looking into charges made against Alan Price, a Frankfort, Indiana resident. Price has been barred from the securities sector by FINRA (the Financial Industry Regulatory Authority). Price allegedly failed to reply to FINRA’s probe after allegedly borrowing money from a customer, according to FINRA. Financial advisors are not permitted to borrow money from customers without prior written authorization, unless one of the few exceptions applies.\
From 2007 to February 2020, Alan Price worked as a financial advisor and registered agent for Edward Jones. He is now employed by Thurston Springer. In Frankfort, Indiana, he worked in a branch office. Edward Jones also fired Price as a result of the allegations.
Brokerage firms, such as Edward Jones, are responsible for properly supervising all representatives who are registered with them. Brokerage firms must also guarantee that its financial advisors adhere to all securities rules and regulations, as well as internal business standards. Customers may be held accountable for investment losses if brokerage firms fail to effectively oversee their licensed representatives.
Maddox Hargett & Caruso, P.C. represents investors nationwide who are trying to recover their losses. You can call or email our senior partner Mark Maddox to have your potential case evaluated at no charge. Please call 317-598-2043 or email him at firstname.lastname@example.org.