Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stevan Paton (Paton), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Paton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 19, 2024.
Customer alleged that advisory fees charged in the accounts were not justified during periods when there were no transactions in the accounts. (1/1/2020-12/31/2022)