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 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.
In 12/2020, a customer of Raymond James was paid $200,000 to resolve allegations that Collier made unauthorized trades in the account resulting in losses. FINRA Case 19-3845.
In 2019 a customer of Raymond James alleged that Collier managed the portfolio poorly and made unsuitable trades. The customer’s claim for damages of $25,000 was denied.
Collier has been employed by Raymond James since 8/2005 and discloses a business affiliation with Collier Financial Solutions in Mount Dora, FL.
If you have questions about an investment account with Gregory C. Collier, Sr., 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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