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raymond james lawsuit

Donald Cox-Raymond James Broker-Discloses Regulatory Event and Customer Dispute-Wyandotte, MI

Donald Cox-Raymond James Broker-Discloses Regulatory Event and Customer Dispute-Wyandotte, MI 150 150 Rex Securities Law

June 2020- Wyandotte, MI The FINRA records of Donald Marshall Cox, a broker  employed  by  Raymond James & Associates, Inc. , disclose  a regulatory event and a customer dispute. The Financial Industry Regulatory…

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Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Rex Securities Law

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

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Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints

Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints 150 150 Rex Securities Law

UPDATE October 2016-FINRA records report that Mark S. Immel terminated his registration with G.A. Repple & Co. 5/2016 and as of October 25, 2016, he is not currently registered with…

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Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information

Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information 150 150 Rex Securities Law

February 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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