June 2018-The Villages, Florida According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a…
read moreAugust 2016-The Villages, Florida The FINRA records of J.J. Heaton , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Heaton’s prior employer.…
read moreAugust 2016-The Villages, Florida The FINRA records of Debra R. Lambert , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…
read moreAugust 2016-The Villages, Florida The FINRA records of William H. Smathers , a stock broker who is currently employed by NEXT Financial Group , disclose 9 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreAugust 2016-Summerfield / The Villages, Florida The FINRA records of Dean T. Nicholson , a stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services , disclose a prior final regulatory event, a prior customer…
read moreAugust 2016-Orlando / The Villages, Florida The FINRA records of George Sefanou , a stock broker who is currently employed by Edward Jones , disclose a recently settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
read moreUPDATE-September 2016– SII Investments was found liable for negligence, unsuitability and breach of fiduciary duty and ordered to pay damages in the amount of $19,634 plus interest in FINRA Case…
read moreNovember 9, 2015- The Villages, Florida Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial…
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