Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2019 indicate that Connecticut-based Raymond James & Associates broker/adviser Diane Fisher has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Fisher (CRD# 1125776).
Diane Fisher has spent 35 years in the securities industry and has been registered with Raymond James & Associates in West Hartford, Connecticut since 2015. Previous registrations include Wells Fargo Advisors in Farmington, Connecticut (2008-2015); AG Edwards & Sons in Farmington, Connecticut (1996-2008); Merrill Lynch in New York, New York (1995-1996); AG Edwards & Sons in St. Louis, Missouri (1988-1995); and AdVest (1983-1988). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 4, 1986; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which she obtained on May 21, 1983. She is a registered broker and investment adviser with 18 US states and territories: Alaska, California, Connecticut, the District of Columbia, Florida, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Tennessee, West Virginia, and Wisconsin. She is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to her BrokerCheck report, she has received one pending customer complaint and two denied customer complaints.
In November 2018 a customer alleged Diane Fisher, while employed at Raymond James & Associates, recommended an unsuitable variable annuity investment in March 2011. The customer is seeking more than $253,200 in damages in the pending complaint.
In 2011 a customer alleged Diane Fisher, while employed at Wells Fargo Advisors, made unsuitable investments in his portfolio. The customer sought $270,000 in damages in the complaint, which was denied.
In 2009 a customer alleged Diane Fisher, while employed at Wachovia Securities, made unauthorized investments in variable annuity products. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has lost money investing with Diane Fisher, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.