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Raymond James

Gilford Ward Negard- Former Newbridge Financial Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ

Gilford Ward Negard- Former Newbridge Financial Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 ER

September 2021- Phoenix, AZ According to publicly available records,  Guilford Negard,  a currently unregistered  financial advisor who previously was employed by Newbridge Financial Services discloses a regulatory event , 4 prior…

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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 150 150 ER

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…

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Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL

Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL 150 150 Rex Securities Law

October 2020- Hollywood, FL According to publicly available records.  Stefan Anton Pastor, (CRD#5141819), a  former stockbroker who last worked for Raymond James Financial Services, Inc.,  discloses a regulatory event, 2…

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Andrew Fairchild-Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Boca Raton, FL.

Andrew Fairchild-Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Boca Raton, FL. 150 150 Rex Securities Law

October 2020- Boca Raton, FL  According to publicly available records,  Andrew Joseph Fairchild, a broker with  Newbridge Securities Corporation,  discloses 2 regulatory Events, a customer dispute and a termination. The…

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Bryce Jenney-Raymond James Broker-Permanently Barred from FINRA-Nashville, TN

Bryce Jenney-Raymond James Broker-Permanently Barred from FINRA-Nashville, TN 150 150 Rex Securities Law

October 2020-Nashville, TN According to publicly available records, former Raymond James & Associates, Inc.,  financial advisor Bryce P. Jenney  has been barred from the securities industry by  FINRA . The…

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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 150 150 Rex Securities Law

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…

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Lori Antolovic-Raymond James Broker-Discloses Regulatory Event-Dallas, TX

Lori Antolovic-Raymond James Broker-Discloses Regulatory Event-Dallas, TX 150 150 Rex Securities Law

June 2020-Dallas, TX According to publicly available records of Lori S. Antolovic ,  a  stockbroker employed with Raymond James & Associates, Inc. ,  discloses  a regulatory event . The Financial Industry…

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Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX

Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX 150 150 Rex Securities Law

April 2020-Dallas, TX According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) ,  a  former stockbroker who last worked for Raymond James & Associates, Inc.   discloses  a regulatory event…

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James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX

James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX 150 150 Rex Securities Law

April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) ,  a  former stockbroker who last worked for Raymond, James & Associates,  discloses  a regulatory event,  3 customer…

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