Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Elliott (Elliott), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Elliott 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 $100,000.00 on January 17, 2023.
Claimants allege that FA provided “incorrectly calculated tax basis figures” for assets that they inherited. Allegation Activity Dates: 5/21/2021 – 9/31/2021.