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Jacqueline Garol Allegedly Failed to Fully Inform Client About Annuity Fund

Jacqueline Garol (CRD #: 5792543), a broker registered with Edward Jones, allegedly failed to fully inform a client about an investment, according to her BrokerCheck record, accessed on May 25, 2023. If you want to know more about her alleged conduct as a broker, keep reading.

Investor Dispute

On March 28, 2023, an investor alleged that Jacqueline Garol failed to provide complete and accurate disclosure regarding an annuity fund she purchased for the client. This dispute is currently pending.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deception, manipulation, and other fraudulent tactics to influence the purchase and sale of securities. This includes the misrepresentation or omission of information related to investments, such as their potential limitations, risks, or fees.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Jacqueline Garol has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Jacqueline Garol is a registered broker in 21 states and a registered investment adviser in Nevada and Texas.

Kurta Law Can Help

If you worked with Jacqueline Garol and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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