Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Sutton (Sutton), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sutton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 22, 2023.
Client alleged the advisor placed unauthorized trade in her investment account. Allegation Activity Dates: 11/07/2022 – 05/18/2023.