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Raymond James Financial Services Fires Lisa Valko Following Forgery Allegations

Dec 27, 2021 Employment

Lisa Valko (CRD #: 2771733), has been fired from her position at Raymond James Financial Services, according to her BrokerCheck record, accessed on November 29, 2021.  

Employment Termination Details 

On October 8, 2021, Raymond James Financial Services fired Lisa Valko following allegations that she placed orders for her personal account after depositing a check from a suspicious source. According to Raymond James, the check was forged. The firm also claimed that  Lisa Valko allegedly made prior misleading statements to supervisors regarding her relationship with the source of the forged check. 

Lisa Vaiko’s alleged conduct was unethical and violates FINRA Rule 2010, which requires that all industry members conduct business with high standards of commercial honor. 

Background Information 

 Lisa Valko has passed the following exams: 

  • Series 63 - Uniform Securities Agent State Law Examination 
  • SIE - Securities Industry Essentials Examination 
  • Series 7 - General Securities Representative Examination 
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination 

She has also worked with the following firms: 

  • USAA Financial Advisors (CRD#:129035) 
  • Vanguard Marketing Corporation (CRD#:7452) 
  • Fidelity Investments Institutional Services Company (CRD#:17507) 
  • Fidelity Brokerage Services (CRD#:7784) 

Kurta Law Can Help  

If you lost money while working with Lisa Valko, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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.