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Erez Law Investigates Raymond James & Associates, Inc. Broker Russell Stein

Posted on Wednesday, December 2nd, 2020 at 8:56 pm    

Raymond James & Associates

There are options for clients of Raymond James & Associates, Inc. broker Russell Stein (CRD# 434765) who suffered investment losses. Stein has been registered with Raymond James & Associates, Inc. in Houston, Texas since 2008. 

Stein has been the subject of four customer complaints between 1989 and 2020, according to his CRD report. The most recent complaint is regarding:

August 2020. “Client alleges unauthorized trading and unsuitable investments.” The case is currently pending. The complaint was regarding common and preferred stocks. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Raymond James & Associates, Inc. may be liable for investment or other losses suffered by Stein’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.