Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Hocking (Hocking), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hocking recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.
Time Frame: October 23, 2020\, What were the allegations against the individual? \, The trustee alleges her Financial Advisor dd not follow her instructions and her security was sold which caused tax implications. The alleged damages are estimated to be in excess of $5,000.00.