Case Result

$1M

Financial Fraud

2011
Trial Verdict
Carolina Beach, NC

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Case Details

FINRA arbitration award for investors who lost retirement funds due to a Raymond James branch manager's unauthorized 'sell away' activities and fraudulent investment recommendations.

Additional Notes

Branch manager was sanctioned by FINRA and fired. Raymond James initially refused to settle, claiming actions were outside employment scope. Highest offer before award was $0. Plaintiffs successfully collected the judgment.

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