Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Esteves-dixon (Esteves-dixon), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Esteves-dixon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,667.00 on August 19, 2024.
Claimant alleges purchase of Treasury Bills approved by Claimant became improper when Claimant’s third party bank failed to timely transfer money into Claimant’s Raymond James account to purchase the securities, thus leaving the securities to be purchased with margin.
