Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Johnson (Johnson), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 03, 2023.
Claimant alleges that beginning in 2015, her Financial Advisor made unsuitable investments and maintained multiple brokerage accounts in Claimant’s name to generate commissions.