Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rives Allen (Allen), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Allen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $48,836.00 on December 09, 2025.
Client alleges FA placed them in unsuitable investments. Allegation Activity Dates: 06/03/2021 to 03/26/2025