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Monica Baldwin Of Raymond James Financial Services, Raymond James Financial Services Advisors Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Monica Baldwin of Raymond James Financial Services?

Monica Baldwin (CRD #1410593) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Longmont, Colorado is a subject of one of our many securities industry sales practice abuse investigations.

Monica Baldwin Customer Complaints

Monica Baldwin has been the subject of 2 customer complaints that we know about. One of Monica Baldwin’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Raymond James Financial Services for investment losses caused by Monica Baldwin’s alleged misconduct.

Allegations Against Monica Baldwin

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

  • Customer filed a mediation request through FINRA seeking damages related to a Whole Life Insurance Policy used to fund a Life Insurance Trust she purchased allegedly through Monica Baldwin while Ms. Baldwin was at a prior firm.
  • Monica Baldwin’s alleged Negligence, Failure to Supervise, Breach of Contract, Breach of the Duty of Good Faith and Fair Dealing, Breach of Fiduciary Duty, Suitability and Overconcentration.

Monica Baldwin Red Flags & Your Rights As An Investor

Of course, Monica Baldwin 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 Monica Baldwin at Raymond James Financial Services and Raymond James Financial Services Advisors on alert to review carefully the activity and performance of their accounts and question whether Monica Baldwin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services and Raymond James Financial Services Advisors 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 Financial Services Due To Monica Baldwin

If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, and/or Monica Baldwin 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.

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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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