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 moreGregory 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…
read moreMichael 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,…
read moreAugust 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 moreMarch 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 moreFebruary 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 moreJanuary 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 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 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…
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