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Allison DeStefano Allegedly Violated Firm Policy at Raymond James & Associates

Allison DeStefano (CRD #: 6910184), a broker formerly registered with Raymond James & Associates, was fired from the firm, according to her BrokerCheck record, accessed on October 30, 2022. Keep reading if you want to know more about her conduct as a broker.

Termination Raymond James & Associates

On August 8, 2022, Allison DeStefano was fired from Raymond James & Associates after allegedly failing to follow firm policies with regard to an outside business activity, including by providing inaccurate information on an outside business activity approval request form.

The firm also alleged that Allison DeStefano misused a company charge card and used the card’s Venmo feature to pay an outstanding card balance.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to seek and receive approval from their firm for any outside business activities they engage in. 

Other business activities

Allison DeStefano’s detailed BrokerCheck report does not list any outside business activities.

Background Information

Allison DeStefano has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

She previously worked for Raymond James & Associates (CRD#:705).

Kurta Law Can Help

If you worked with Allison DeStefano and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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