Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles King (King), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that King 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 $800,000.00 on March 16, 2020.
Client alleges advisor misrepresented terms of a margin loan. Alleged Activity dates: 3/18/2010 – 4/28/2017.