Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Scott (Scott), currently associated with Raymond James (usa) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Scott recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $113,042.59 on December 27, 2024.
Client requested refund of difference between interest paid on margin loan and securities-based line of credit he should have received.