Gary Stringer Allegedly Mismanaged Client’s Account
Gary Stringer (CRD #: 4292775), a broker registered with Raymond James & Associates, is involved in a pending dispute, according to his BrokerCheck record, accessed on February 9, 2023. Read on to learn more about his alleged conduct as a broker.
Investor Dispute
On August 3, 2022, an investor alleged that Gary Stringer mismanaged their account between January 1 and May 31, 2022. The client seeks $59,093.02 in damages in this pending dispute.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Background Information
Gary Stringer has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 31 – Futures Managed Funds Examination
- Series 7 – General Securities Representative Examination
- Series 10 – General Securities Sales Supervisor – General Module Examination
- Series 9 – General Securities Sales Supervisor – Options Module Examination
Gary Stringer is a registered broker in 14 states and a registered investment adviser in Indiana and Texas.
He has also worked for Wachovia Securities (CRD#:19616) and A. G. Edwards & Sons (CRD#:4).
Kurta Law Can Help
If you worked with Gary Stringer 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.