Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwayne Stallings (Stallings), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stallings 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 $47,300.00 on February 21, 2025.
Client alleged that advisor guaranteed a rate of return that was not achieved, that they did not disclose risk of loss of principle, and did not update investment strategy after inheriting funds.
