Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Cooke (Cooke), previously associated with Raymond James Financial Services, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cooke concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $72,156.06 on December 16, 2024.
Complaint from the financial advisor’s spouse alleges he placed excessive trades, entered two unauthorized trades and signed her name on two documents to move the cash from her ira.