Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Sherman (Sherman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sherman 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 $23,750.00 on August 07, 2025.
The client alleged the advisor placed unauthorized trades. Allegation dates: 4/16/2025 – 7/15/2025.