Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Bauman (Bauman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bauman 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 $220,000.00 on January 19, 2024.
Claimant alleges FAs failed to follow her instructions to re-invest dividends from specified securities.