Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Baugh (Baugh), previously associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Baugh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on August 19, 2024.
Baugh engaged in off-book and unauthorized outside business activity. He received over $10,000 in direct compensation from pastor and minister clients in exchange for providing them with “Rabbi Trust” plans, activity his firm had disapproved.
