Tag Archives: Stuart Blake Nichols

FINRA Bars Raymond James Stockbroker In Churning Investigation

November 01, 2019  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News   |   0 Comments

Stuart Blake Nichols of Birmingham Alabama a stockbroker formerly registered with Raymond James Associates Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Nichols failed to make an appearance before FINRA personnel and testify regarding accusations of his excessive trading in […]

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