Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Rubin (Rubin), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rubin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 28, 2024.
Customer alleges FA sold certain stock that customer instructed FA not to sell and that FA then bought some back without consulting customer. Allegation Activity Dates: 2/8/24 – 6/28/24.