January 2019- Houston, TX According to publicly available records , William Herman Biegel (CRD#1301825) a stockbroker previously employed by Raymond James & Associates, discloses the recent settlement of a customer dispute. The…
read moreNovember 2018-San Angelo, TX According to publicly available records Cecil Allen Ross , (CRD# 2391047) , a stockbroker who was previously registered with Raymond James Financial Services, Inc., disclose a prior customer dispute . The…
read moreOctober 2018- Melville, NY According to publicly available records Robert Abramowitz (CRD#4457589), a stockbroker who is registered with National Securities Corp. disclose a prior customer dispute and 2 pending customer disputes..…
read moreJuly 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…
read moreJune 2018-The Villages, Florida According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a…
read moreMarch 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…
read moreMarch 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 1 pending…
read moreSeptember 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…
read moreFebruary 2018-Shreveport, LA The FINRA records of Thomas W. O’Brien, a stockbroker who is currently employed by Raymond James & Assoc. disclose 2 pending customer disputes and 2 prior final customer disputes.…
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