Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Hart (Hart), currently associated with Raymond James & Associates, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hart 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 on June 13, 2024.
Client’s guardian alleges client’s account is not being managed in the best interests of an elderly client and or is being charged excessive fees.
