Scott Kevin Erickson, of Athens, Georgia, a stockbroker formerly registered with Raymond James Financial Services, Inc., has been named in a customer initiated investment related written complaint on March 24, 2017, in which the customer requested $8,000.00 in damages based upon allegations that Erickson, in his capacity as the customer’s financial advisor, effected unauthorized mutual fund trades in the customer’s account, and withdrew monies from the customer’s account for Erickson’s personal benefit.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on November 2, 2005, a customer filed an investment related written complaint regarding Erickson’s activities, in which the customer requested $80,000.00 in damages based upon allegations that Erickson effected options transactions in the customer’s account which were not suitable for the customer.
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