Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Stein (Stein), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 05, 2020.
Client alleges unauthorized trading and unsuitable investments. 12/4/09 – 6/30/21