fbpx

Raymond James Financial Services complaint

Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO

Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO 150 150 ER

Joel Kichline Investigation April 2022- Frontenac, MO According to publicly available records,  Joel Kichline, a currently unregistered broker who was previously employed with Stifel, Nicolaus & Company  in Frontenac, MO.…

read more

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ 150 150 Rex Securities Law

Lance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong  , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose   regulatory events…

read more

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…

read more

Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA

Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA 150 150 Rex Securities Law

March 2019 – San Diego, CA According to publicly available records William  (“Bill”) Michael Council  (CRD#848504) ,  a  stockbroker who is currently registered with Raymond James & Associates, Inc.,  disclose  3 pending customer disputes…

read more

Marc Allen Miller II- Raymond James Broker-Discloses Pending Customer Dispute-Port Charlotte, FL

Marc Allen Miller II- Raymond James Broker-Discloses Pending Customer Dispute-Port Charlotte, FL 150 150 Rex Securities Law

February 2019- Port Charlotte, FL According to publicly available records Marc Allen Miller II (CRD#4521825) ,  a  stockbroker registered with Raymond James & Associates,  disclose a  pending customer dispute. The Financial Industry Regulatory Authority…

read more

Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY

Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY 150 150 Rex Securities Law

October 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 more

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 150 150 Rex Securities Law

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of  Donald…

read more

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX 150 150 Rex Securities Law

August 2016-New Braunfels, Texas The FINRA records of  James E. Mahan,  a  former stockbroker who most recently worked for Raymond James Financial Services  disclose a recent regulatory matter resulting in his permanent…

read more

This site is protected by wp-copyrightpro.com