Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Desrosiers (Desrosiers), currently associated with Eagle Point Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Desrosiers 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 $75,000.00 on June 01, 2024.
Based on investment activity in 2018, claimants allege the following: omission of material facts, material misstatements, breach of fiduciary duty, negligence, and lack of supervision.