Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Stephens (Stephens), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $350,000.00 on June 10, 2025.
Embezzlement, Conversion, Chapter 75 Unfair and Deceptive Trade Practices, Fraud, Violation of Fiduciary Duty, Punitive Damages, Breach of Contract