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Articles Tagged with Stuart Nichols

SSEK Investigating Ex-Raymond James Advisor, Stuart Nichols 

Another former Raymond James advisor has gotten into trouble over fraud allegations. The Financial Industry Regulatory Authority (FINRA) recently barred Stuart Nichols, a former broker with the firm, after he failed to participate in the self-regulatory authority’s probe into churning allegations made against him. 

Churning involves engaging in excessive trading in a brokerage account for the purposes of making commissions. 

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