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Stephen Hollingsworth Of Raymond James Financial Services, Inc. has 4 Customer Complaints For Alleged Broker Misconduct

Who is Stephen Hollingsworth of Raymond James Financial Services, Inc.?

Stephen Hollingsworth

Stephen Hollingsworth (CRD #1328648) who is currently registered as a broker and investment adviser with Raymond James Financial Services, Inc. and located in Newton, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services, Inc., Stephen Hollingsworth was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Stephen Hollingsworth Customer Complaints

Stephen Hollingsworth has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration against Raymond James Financial Services for Stephen Hollingsworth’s alleged misconduct and resulted in an arbitration award in favor of the investor. Three of the customer disputes were settled by the advisor’s current and former employers in favor of the investors.

Allegations Against Stephen Hollingsworth

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

  • Suitability and breach of fiduciary duty.
  • Unauthorized trading.
  • Excessive trading involving use of margin.
  • Unsuitable investment recommendations.
  • Churning.
  • Violation Florida Securities and Investor Protection Act, fraud, breach of fiduciary duty, negligence, and negligent misrepresentation.

Stephen Hollingsworth Red Flags & Your Rights As An Investor

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

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

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File A Claim To Recover Your Investment Losses At Raymond James Financial Services, Inc. Due To Stephen Hollingsworth

If you have questions about Raymond James Financial Services, Inc. and/or Stephen Hollingsworth 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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