Raymond James Archives - Page 5 of 8 - Rex Securities Law-BLOG

Rex Securities Law
October 13, 2017
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Raymond James, Former Employer of Angela West and Leon Rehak, Named in FINRA Arbitration Suit-Ft. Lauderdale, FL

Raymond James, Former Employer of Angela West and Leon Rehak, Named in FINRA Arbitration Suit-Ft. Lauderdale, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 13, 2017 February 13, 2019

February 2019 -Ft. Lauderdale, Florida We have recently submitted a FINRA arbitration claim against Raymond James & Associates on behalf of a retired couple from Ft. Pierce, FL, who are …

Rex Securities Law
September 18, 2017
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Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ

Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 18, 2017 August 28, 2018

August 2018- The FINRA records of Kelly Gene Richards , (CRD 4918409), a stockbroker who is currently employed by First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…

Rex Securities Law
June 27, 2017
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Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA

Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 27, 2017 June 27, 2017

June 2017 – Atlanta, GA The FINRA records of Todd D. Ryman , a stockbroker previously employed with Raymond James & Associates, Inc. disclose a prior regulatory matter and 6 customer disputes. The…

Rex Securities Law
May 11, 2017
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Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL

Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 11, 2017 May 11, 2017

May 2017-Miami, FL The FINRA records of Ramesh Madhusudan, a stockbroker who is employed by Raymond James Financial Services disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

Rex Securities Law
May 11, 2017
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James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX

James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 11, 2017 May 11, 2017

May 2017-Borger, TX The FINRA records of James D. Calder II, a unregistered stockbroker who was last employed by Raymond James Financial Services disclose a final regulatory event and a customer dispute that has been settled.…

Rex Securities Law
May 4, 2017
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Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK

Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 4, 2017 May 4, 2017

May 2017-Norman, OK The FINRA records of Billy Jack Cowan , a former stockbroker who is not currently registered disclose a regulatory event, 2 prior customer disputes, 2 terminations from employment and 8…

Rex Securities Law
April 27, 2017
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Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL

Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 27, 2017 April 27, 2017

April 2017- St. Petersburg, FL Raymond James announced that they reached a deal with UMB Financial Corp (NASDAQ: UMBF) to purchase Scout Investments and its Reams Asset Management division. According…

Rex Securities Law
March 28, 2017
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Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL

Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 28, 2017 March 28, 2017

March 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak , (CRD# 2331058) , a stockbroker who presently works for LPL Financial, discloses a pending customer dispute. The Financial Industry Regulatory Authority…

Rex Securities Law
March 28, 2017
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Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 28, 2017 June 19, 2017

April 2017-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, 2 pending…