Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Michels (Michels), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Michels recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $20,909.00 on September 30, 2025.
Client alleges that he gave FA instructions to buy a specific stock and that FA confirmed stock purchase on a specific date but later said the trade did not go through and stock was not purchased until several days later. Client also alleges that FA compensated him for the alleged delay.