Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Jones (Jones), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $25,000.00 on March 07, 2023.
Claimant alleges that although her stated risk tolerance was conservative, her account was designated with a moderate risk tolerance and managed in a manner that was inconsistent with her conservative profile.