Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Swift (Swift), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Swift 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 $28,783.15 on August 28, 2024.
The client alleged the variable annuity was not appropriate based on her age and that the tax treatment was not communicated at point of sale. Allegation Activity Dates: 4/26/2022 – 8/28/2024.
