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Raymond James Broker Ronald Vaught Barred by FINRA

Raymond James Broker Ronald Vaught Barred by FINRA 150 150 Rex Securities Law

To resolve allegations that he failed to disclose a trustee relationship and that he altered a client document, Ronald W. Vaught , who formerly worked for Raymond James Financial  in Melbourne, FL,  consented to an order barring him from the securities industry. The findings also state that Vaught failed to notify his member firm that he had been named a successor trustee and beneficiary of an elderly customer’s trust in violation of firm policy.

Findings also state that Vaught falsified the signature of the customer on a business-related form with a date that was after the date of the customer’s death and made distributions from the trust to himself that were not authorized by the trust document.

If you suffered damages in an account handled by Vaught, contact us to learn how you may be able to recover your losses.

Rex Securities Law provides nationwide representation to investors 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.

Rex Securities Law

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