Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Moses (Moses), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moses 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 $8,342.00 on June 25, 2025.
Client alleged that an uninvested cash balance in their account earned no return resulting in a loss of opportunity for growth.