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 Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In March 2008 a customer of Morgan, Keegan & Company, Howard’s previous employer, filed FINRA case #08-00667 alleging breach of contract, breach of fiduciary duty, breach of common law duties of care, good faith and best execution, breach of common law duty of not to engage in unauthorized transactions and negligence. Damages awarded were $1,134,601.
In 9/2019 a Raymond James & Associates, Inc. customer filed FINRA case #19-02833 , alleging breach of fiduciary duty, negligence, breach of contract, violations of the Alabama Securities, and violations of the Securities and Exchange Act by Howard. The customer seeks damages of $160,000.
Howard has worked for Raymond James & Associates, Inc. since 2/2013. Before that he was with Morgan, Keegan & Company and AmSouth Investment Services.
If you have questions about an account handled by John Troy Howard call for a no charge consultation with an experienced securities attorney .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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