Frederick Stow, formerly with Raymond James, Subject of SEC Complaint
Have you lost money with financial advisor Frederick Stow of Franklin, Tennessee? We are continuing to look into allegations made by the Securities and Exchange Commission (SEC) against Stow. Stow is the subject of a complaint filed by the SEC, alleging that he stole over $900,000 from elderly customers.
Frederick A. Stow was a financial advisor and registered representative of Raymond James from September 2013 to June 2019. Stow worked at a branch office in Franklin, Tennessee. He was also terminated by Raymond James regarding these allegations.
Brokerage firms like Raymond James have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in the Nashville area and throughout Tennessee. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including Raymond James.