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raymond james litigation

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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Claus Foerster Indicted for $2.8M Fraud-Spartanburg, S Carolina

Claus Foerster Indicted for $2.8M Fraud-Spartanburg, S Carolina 150 150 Rex Securities Law

March 2016 The US Attorney’s Office for District of South Carolina announced that Claus C. Foerster, age 55, of Spartanburg, South Carolina was charged in a 5 count indictment with…

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Former Raymond James StockBroker Barred From Industry for Taking Customer Funds

Former Raymond James StockBroker Barred From Industry for Taking Customer Funds 150 150 Rex Securities Law

October 8, 2015 Paul Anthony Steffany , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he he violated NASD and…

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Raymond James Broker Scott Altman Suspended and Fined

Raymond James Broker Scott Altman Suspended and Fined 150 150 Rex Securities Law

FINRA fined Scott Howard Altman, a broker with Raymond James & Associates  in RIchfield, Ohio, $5,000 and suspended him for 20 days to resolve allegations that he executed transactions in a…

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FINRA Alleges Theft Vs. Former Raymond James Broker Paul David Arnold

FINRA Alleges Theft Vs. Former Raymond James Broker Paul David Arnold 150 150 Rex Securities Law

Largo, Florida On April 17, 2013, the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) filed a complaint against Paul David Arnold alleging that during the period from…

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