LISA LYNN STELLA is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 691 N. SQUIRREL ROAD, SUITE 222, AUBURN HILLS, MI, 48326.
LISA LYNN STELLA has worked at RAYMOND JAMES & ASSOCIATES, INC. since January 30, 2009
Disclosure History
LISA LYNN STELLA has 2 Disclosure Event(s).
Date: March 11, 2014 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE UNSUITABILITY AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS. Damage Amount Requested: $300,000.00 Settlement Amount: $52,500.00
Date: September 28, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT HER VARIABLE ANNUITY CONTRACTS DID NOT MEET HER NEED FOR RISK-FREE INVESTMENTS. Damage Amount Requested: $12,000.00 Broker Comment: BASED UPON REVIEW OF THE FILE AND CONSULTATION WITH MS. STELLA, MERRILL LYNCH FOUND NO MERIT TO THE CLIENT'S ALLEGATIONS. MERRILL LYNCH ALSO FOUND NO WRONGDOING BY MS. STELLA REGARDING THE SLAE OF THE ANNUITITES.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for LISA LYNN STELLA, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.