Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hollingsworth (Hollingsworth), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hollingsworth 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 $762,908.00 on October 18, 2022.
Former clients allege that FA purchased and sold securities without authorization, executed an inappropriately high volume of transactions, improperly recommended margin, purchased unsuitable investments in their accounts, and improperly communicated through Facebook messenger. Allegation Activity Dates: 11/7/10 – 9/2/21.