Tag Archives: Scott Douglas Williams

Investors File Securities Arbitration Claim Against Raymond James For Unsuitable Recommendations

June 12, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors File Securities Arbitration Claim Against Raymond James For Unsuitable Recommendations

Scott Douglas Williams of Franklin Tennessee a stockbroker formerly registered with Raymond James Financial Services Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $125,000.00 in damages founded on accusations that unsuitable stock recommendations had been made by Williams for the customer’s Raymond James Financial Services account. […]

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LPL Financial Sued By Investors For Churning

Scott Douglas Williams of Franklin Tennessee a stockbroker formerly employed by LPL Financial has been identified in a customer initiated investment related arbitration claim which has been resolved for $61,050.00 in damages founded on accusations that the customer’s account had been churned and that unsuitable penny stocks and equities were traded in the customer’s LPL […]

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