Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Sager (Sager), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sager recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.
Clients complained that the financial advisor invested their funds in an aggressive mutual fund without their authorization. (11/7/2019-3/6/2020)