Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Kendal Fordham (Fordham), previously employed by Raymond James Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Fordham’s most recent customer complaint alleges that Fordham recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on February 20, 2025.
Plaintiff alleges recommendation of unsuitable structured products and overconcentration of same due to losses from Client’s decision to liquidate notes prior to maturity
