Xiao Qin (Sarah) Komischke Investigation
November 2021- New York, NY
According to publicly available records, former Raymond James financial advisor Xiao Qin “Sarah” Komischke, is the subject of two pending customer complaints.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA Case 21-2531 a customer of Raymond James is seeking $500,000 and alleges that Komischke recommended an unsuitable investment in an offshore product whose issuer is no longer solvent and is under a liquidation order. In FINRA case 21-1868, another Raymond James customer seeks $80,000 as a result of purchasing an unsuitable offshore investment.
Komischke was employed by Raymond James from 10/2011-5/2018. . Following that she was with CommunityAmerica Financial 4/2018-8/2018, and has been with Cetera Investment Services since 10/2018.
If you have losses in an account handled by Sarah XioaQin Komischke, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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