Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Radner (Radner), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Radner 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 $475,000.00 on May 15, 2020.
Claimant alleges that in connection with an annuity surrender in or about December 2015 and subsequent investments the respondent breached its fiduciary duty, made unsuitable recommendations, committed fraud and/or was negligent, respondeat superior and failure to supervise, negligent supervision, failure to protect claimant’s assets, breach of contract, and violation of industry rules.