Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valery Oswald (Oswald), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oswald 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 $1,883,594.00 on October 18, 2024.
A. Breach of Fiduciary Duty\, B. Negligence\, C. Actual Fraud\, D. Constructive Fraud \, E. Breach of Contract\, F. Violations of Oklahoma Uniform Securities Act of 2004\, G. Respondeat Superior
