Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janine Zander (Zander), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zander 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 $18,880.00 on April 26, 2021.
Client alleges the former FA omitted capital gain consequences of actions she proposed in selling existing assets to purchase various John Hancock mutual funds resulting in a tax bill of $18,880.00.