June 2017 – Atlanta, GA
The FINRA records of Todd D. Ryman , a stockbroker previously employed with Raymond James & Associates, Inc. disclose a prior regulatory matter and 6 customer disputes.
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.
Prior customer disputes include:
May 2017-A customer of Deutsche Bank Securities alleged damages of $250,000 related to the sale of an unsuitable private equity fund. That case was settled for $205,193.
FINRA Case 14-02095- A customer of Merrill Lynch sought damages of $100,000 alleging that Ryman made unsuitable investment recommendations, made unauthorized trades and misrepresented material facts. That case settled for $47,500.
June 2009- A customer of Banc America Investment Services alleged unauthorized trading in auction rate securities. That case settled for $5 million.
Ryman is currently employed by Suntrust Investment Services. His prior employment includes Raymond James & Associates, Inc.,Deutsche Bank Securities, Inc. , Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Investment Services.
If you have losses in an account in an account handled by Todd D. Ryman contact us to discuss how you may be able to recover damages for those losses.
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.
Florida-561 391 1900