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.…
read moreWilliam Seibert Investigation March 2023-Houma, LA According to publicly available records William Colin Seibert, a Raymond James & Associates, Inc. broker, discloses a $897,500 settlement payment and a pending customer dispute.…
read moreBill Woods aka William Forrest Winchester Investigation June 2022- Chattanooga, TN According to publicly available records Bill Woods (aka…
read moreCharles (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…
read moreLance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose regulatory events…
read moreGuilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records, Guilford Nergard, a currently unregistered financial advisor who previously was employed by Raymond James discloses a regulatory event ,…
read moreXiao 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…
read moreGregory 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,…
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