Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Boniface (Boniface), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Boniface 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 $40,820.33 on November 15, 2021.
Claimant alleges he was appointed POA for his mother and instructed FA not to execute any trades in his mother’s accounts without his approval but those instructions were not followed. Allegation Activity Dates: 3/21/19 – 6/30/21.