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Lisa Westmoreland Of Raymond James & Associates Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Lisa Westmoreland of Raymond James & Associates?

Lisa Westmoreland (CRD #1398304) who is currently registered with Raymond James & Associates and located in Baton Rouge, Louisiana is a subject of one of our many securities industry sales practice abuse investigations.

Lisa Westmoreland Customer Complaints

Lisa Westmoreland has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Lisa Westmoreland’s 4 customer complaints were settled in favor of investors. One of Lisa Westmoreland’s customers complaints was denied and, to date, the customers have not taken any further action.

Allegations Against Lisa Westmoreland

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Claim alleged Lisa Westmoreland’s misrepresentation and unsuitability with regard to mutual funds purchased.
  • Claim alleged misrepresentation and unsuitability with regard to mutual funds purchased by Lisa Westmoreland.
  • Claim alleged unsuitability with regard to mutual funds purchased by Lisa Westmoreland.
  • Client alleged his funds were invested without his authorization by Lisa Westmoreland.

Lisa Westmoreland Red Flags & Your Rights As An Investor

Of course, Lisa Westmoreland 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 Lisa Westmoreland at Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether Lisa Westmoreland 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 firms’ 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 Lisa Westmoreland

If you have questions about Raymond James & Associates and/or Lisa Westmoreland 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.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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