Articles Tagged with James Raia

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raia (Raia), currently associated with Moloney Securities Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Raia 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 $940,000.00  on February 11, 2025.

Suitability/negligence. 2019-2021

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raia (Raia), currently associated with Moloney Securities Co., Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Raia 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 $412,600.00 on March 12, 2024.

Suitability/negligence. 2018-2021