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Raymond James Financial Services problem

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…

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Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL 150 150 Rex Securities Law

Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records,  Gregory C. Collier, Sr. ,  a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…

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Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY

Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY 150 150 ER

Michael Biedny Investigation August 2021- Clarence, NY According to publicly available records,  Michael Biedny,  a financial advisor who previously was employed by Raymond James Financial Services, Inc., discloses a regulatory event,…

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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…

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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…

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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…

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William Biegel-Former Raymond James Broker- Discloses Settlement of Customer Dispute-Houston, TX

William Biegel-Former Raymond James Broker- Discloses Settlement of Customer Dispute-Houston, TX 150 150 Rex Securities Law

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…

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Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX 150 150 Rex Securities Law

March 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…

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