Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Baldwin (Baldwin), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baldwin 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 $10,000.00 on May 08, 2026.
Client alleged advisor failed to invest funds upon receipt of deposit. Allegation Activity Dates: 3/19/2026 through 5/8/2026.\,