Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Laurence (Laurence), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Laurence 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 $3,000,000.00 on January 11, 2023.
Improper Asset Allocation caused losses