Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Snipes (Snipes), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Snipes 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 $8,082.00 on April 30, 2020.
Client alleges advisor gave incorrect information about taxes when withdrawing funds from an annuity. Alleged activity dates: 4/22/20 – 6/3/20