DID KERRIE LEIGH MILLIGAN CAUSE YOU INVESTMENT LOSSES?
Kerrie Milligan Of Raymond James & Associates Has A Customer Complaint For Alleged Broker Misconduct
Who is Kerrie Milligan of Raymond James & Associates?
Kerrie Milligan (CRD #4276095) who is currently registered with Raymond James & Associates and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.
Kerrie Milligan was also the subject of a FINRA investigation which was settled without admitting or denying the findings that she effected trades in the customer’s account on instructions of the customer’s husband without the customer’s prior written authorization and without receiving prior approval to exercise discretion in the account from her member firm. FINRA issued a censure and fined her $5, 000 for the alleged rule violation.
Kerrie Milligan Customer Complaint
Kerrie Milligan has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleged that he did not authorize the trade of Apple (AAPL). Client wanted the sale rescinded and be made whole. Client also wanted to be credited the fees charged on cash and money market funds within his accounts. Kerrie Milligan’s customer complaint was denied and, to date, the customer has not taken any further action.
Kerrie Milligan Red Flags & Your Rights As An Investor
Of course, Kerrie Milligan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kerrie Milligan at Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Kerrie Milligan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Raymond James & Associates Due To Kerrie Milligan
If you have questions about Raymond James & Associates and/or Kerrie Milligan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.