Tag Archives: Raymond James

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

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 Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 12/ 2014, Florida Office of Financial Regulation filed case #55706-SR alleging Cox conducted investment advisory business from offices within this state without the benefit of lawful registration in violation with Florida Statutes.   Cox was sanctioned to cease and desist and he was fined $10,000.

In October  2018,  a Raymond James & Associates, Inc. customer was paid $165,000 to resolve allegations of  breach of contract, breach of fiduciary duty, forgery, fraud, constructive fraud, professional malpractice, conversion and aiding and abetting.

Cox has been employed with Raymond James & Associates  since October of 2004.

If you have questions about an account  handled by Donald Marshall Cox call for a no charge consultation .

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA

January 2020 – Atlanta, GA

The FINRA records of E. Kyle Davis  , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute  and 3 prior customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In currently pending FINRA case 19-3563 a customer of his prior employer Raymond James Associates alleges negligence, breach of fiduciary duty and other claims in connection with an investment in a Unit Investment Trust (UIT). Damages of $500,000 are sought.

Davis worked for Raymond James from 2/2013-1/20219. He joined Ameriprise in 1/2019.

If you have questions about an account handled by E Kyle Davis,  call for a no charge consultation with an experienced securities attorney .

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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

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 (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In November 2018, a customer of Raymond James , filed FINRA case #18-03632 alleging breach of contract, negligence, gross negligence, intentional and negligent misrepresentations and omissions of material facts, failure to disclose, negligent supervision, respondeat superior, breach of the duty of good faith and fair dealing, professional negligence, failure to investigate, fraudulent concealment, failure to perform due diligence, unfair business practices, fraud and deceit.   The customer is seeking damages are $492,158.

Miller has been  employed with Raymond James & Associates since February of 2013.

If you have questions about an investment account handled by Marc Allen Miller II, contact us for a no charge consultation to learn about your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA

February 2019- Lafayette, LA

According to publicly available records Mark Tauzin   (CRD#1716373) ,  a  currently unregistered stockbroker who was last  registered with LPL Financial disclose a regulatory event , a prior customer dispute and a termination from employment.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 10/2016 Tauzin consented  to FINRA sanctions and to the entry of findings that he engaged in a pattern of unsuitable short-term trading of front-loaded Unit Investments Trusts (UITs) in  accounts of households that were customers of his member firm.  Tauzin had no reasonable basis to believe the short-term trading of these front products was suitable for the customers according to FINRA.   The finding stated that Tauzin also maintained blank forms signed by customers relating to accounts for several households.  The forms included Automated Clearing House (ACH) authorization forms, margin agreements, account applications and switch disclosure forms.   With regards to certain households, completed switch disclosure forms.   With regards to certain households, completed switch disclosure forms were used for transactions that appeared identical to the signed, blank forms maintained in Tauzin’s files.  The maintenance of the blank forms violated the firm’s written supervisory procedures, document, regardless of client knowledge or consent.    Tauzin was suspended for  8 months  and  agreed to disgorge  $205,115, and pay a penalty of $20,000.

In August of 2015 an LPL Financial customer alleged unsuitability, misrepresentations and unauthorized trading in connection with her UIT investments.    The case settled for $750,000.

Tauzin was employed with LPL Financial from September 2009  to November 2014 when was discharged by LPL Financial after allegations that he f violated the firm’s document signature policy and concerns regarding short-term UIT Trading..  He previously was employed with Raymond James & Associates, Inc., Inc.

If you have questions about an investment account handled by Mark Tauzin, contact us for a no charge consultation to learn about your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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

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 Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In March 2016, a customer of Raymond James & Associates, Inc., filed FINRA Case 16-0063 alleging  that from 6/2013-9/2015 Biegel over concentrated their account, was negligent, made unsuitable recommendations , committed  common law & statutory fraud, violated federal securities laws, churned their account, traded without their authority and violated Texas securities laws. The case was settled for $245,000.

Biegel was employed by Raymond James   from May 1997 until December 2017.   He is currently not registered as a stockbroker.   

If you have losses in an account in an account handled by  William Biegel, contact us for a no charge consultation to learn how you may be able to recover damages from his employer through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870