Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Duffy (Duffy), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duffy 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 $363,600.00 on April 27, 2023.
Client alleges FA neglected fiduciary responsibilities when recommending investments. Allegation Activity Dates: 1/9/2019 – 1/18/2023.