Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records, Gregory C. Collier, Sr. , a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…
read moreMichael Biedny Investigation August 2021- Clarence, NY According to publicly available records, Michael Biedny, a financial advisor who previously was employed by Raymond James Financial Services, Inc., discloses a regulatory event,…
read moreApril 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event and a customer…
read moreOctober 2019- Houston, Texas According to publicly available records Maria E. Hendershott (CRD#818681) , a stockbroker who is currently registered Raymond James & Associates, disclose 1 pending and 4 final customer…
read moreMarch 2019 – San Diego, CA According to publicly available records William (“Bill”) Michael Council (CRD#848504) , a stockbroker who is currently registered with Raymond James & Associates, Inc., disclose 3 pending customer disputes…
read moreApril 2017- St. Petersburg, FL Raymond James announced that they reached a deal with UMB Financial Corp (NASDAQ: UMBF) to purchase Scout Investments and its Reams Asset Management division. According…
read moreMarch 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak , (CRD# 2331058) , a stockbroker who presently works for LPL Financial, discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreApril 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 2 pending…
read moreFebruary 2017-Palm Beach Gardens, FL According to publicly available records Paul M. Alexander, Jr. , (CRD# 4285605) , a currently unregistered stockbroker who last was employed by Raymond James & Associates, discloses a…
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