Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Kraus (Kraus), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kraus recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.
Client alleges advisor failed to follow instructions. Allegation Activity Dates: 3/3/2020 – 3/23/2020.