Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Arndt (Arndt), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Arndt 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 $140,000.00 on June 15, 2020.
Breach of fiduciary duty, negligence, breach of contract, fraud, misrepresentation, failure to\<char_lb_r>\, supervise, failure to execute, negligent hiring, and violations of the conduct rules of FINRA.