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Raymond James

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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Dave Sears, Jr. -Former Wells Fargo Broker- Barred from Securities Industry-San Antonio, TX

Dave Sears, Jr. -Former Wells Fargo Broker- Barred from Securities Industry-San Antonio, TX 150 150 Rex Securities Law

April 2020- San Antonio, TX The FINRA records of Vernon David “Dave” Sears, Jr. , a broker previously employed  by  Wells Fargo Clearing House, disclose  a regulatory event resulting in his bar…

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Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX 150 150 Rex Securities Law

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) ,  a  former stockbroker who last worked for LPL Financial,  discloses  a regulatory event and a customer…

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John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL 150 150 Rex Securities Law

February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121)  , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…

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E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA 150 150 Rex Securities Law

January 2020 – Atlanta, GA The FINRA records of E. Kyle Davis  , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute  and 3 prior customer disputes.…

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Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Event and Termination- Columbia, NJ

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Event and Termination- Columbia, NJ 150 150 Rex Securities Law

January 2020 – Columbia, NJ The FINRA records of Lance Roman Armstrong  , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose  a regulatory event resulting in his bar…

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Maria Hendershott-Raymond James Financial Advisor-Discloses Numerous Customer Suits-Houston, Texas

Maria Hendershott-Raymond James Financial Advisor-Discloses Numerous Customer Suits-Houston, Texas 150 150 Rex Securities Law

October 2019- Houston, Texas According to publicly available records Maria E. Hendershott (CRD#818681) , a  stockbroker who is currently registered Raymond James & Associates,  disclose 1 pending and 4 final customer…

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