Raymond James Archives - Rex Securities Law-BLOG

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June 22, 2023
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Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 22, 2023 June 22, 2023

Roman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans, a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…

ER
March 31, 2023
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Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY

Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2023 March 31, 2023

Amit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James, discloses a final regulatory matter. The…

ER
March 22, 2023
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Ellen Reynard- Former Raymond James Broker-Discloses Regulatory Suspension and Termination from Employment- Beaumont, TX

Ellen Reynard- Former Raymond James Broker-Discloses Regulatory Suspension and Termination from Employment- Beaumont, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 22, 2023 March 22, 2023

Ellen Reynard Investigation March 2022-Beaumont, TX The FINRA records of Ellen Gayle Reynard, a broker previously employed by Raymond James Financial Services , disclose a regulatory matter and a termination from employment.…

ER
April 5, 2022
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Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO

Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 April 5, 2022

Joel Kichline Investigation April 2022- Frontenac, MO According to publicly available records, Joel Kichline, a currently unregistered broker who was previously employed with Stifel, Nicolaus & Company in Frontenac, MO.…

ER
March 30, 2022
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Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA

Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 30, 2022 March 30, 2022

Charles (Chuck) Arthur Cox Investigation March 2022- Federal Way, WA According to publicly available records Chuck Cox , a stockbroker registered with Raymond James Financial Services Advisors, Inc. discloses a…

Rex Securities Law
November 8, 2021
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Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 8, 2021 November 8, 2021

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…

ER
August 18, 2021
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Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA

Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 18, 2021 August 18, 2021

August 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser, a financial advisor currenlty employed by Cabot Lodge Securities, discloses a regulatory event, a bankruptcy and a…

Rex Securities Law
June 23, 2020
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Donald Cox-Raymond James Broker-Discloses Regulatory Event and Customer Dispute-Wyandotte, MI

Donald Cox-Raymond James Broker-Discloses Regulatory Event and Customer Dispute-Wyandotte, MI http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2020 June 23, 2020

June 2020- Wyandotte, MI The FINRA records of Donald Marshall Cox, a broker employed by Raymond James & Associates, Inc. , disclose a regulatory event and a customer dispute. The Financial Industry Regulatory…

Rex Securities Law
January 30, 2020
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E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020 – Atlanta, GA The FINRA records of E. Kyle Davis , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute and 3 prior customer disputes.…