Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Watts (Watts), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Watts recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $24,999.00 on January 22, 2024.
Claimant, as Personal Representative of the Estate of the Client, alleges various claims relating to the purchase of Standard Lithium, Ltd. stock on or about August 23, 2023.