Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Richter (Richter), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Richter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00 on September 18, 2020.
Client alleges FA failed to properly invest claimants funds in accordance with her risk and objectives. Allegation Activity Dates: 8/5/2011 to Present.