Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Offenberg (Offenberg), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Offenberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $11,243.62 on May 16, 2025.
Client alleged advisor sold position without authorization. Allegation dates: 03/06/2023 – 05/16/2025