Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Seibert (Seibert), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Seibert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 13, 2023.
Claimants allege FA recommended they invest heavily in unsuitable and purportedly high-risk oil and gas investments. Allegation Activity Dates: 2010 – 2018.