Meredith Archer Webber, a stockbroker formerly associated with Raymond James Financial Services Inc. in Cobleskill, New York, is currently the subject of an ongoing FINRA investigation, where the regulator made a preliminary determination to recommend disciplinary action against Webber for alleged violations of FINRA Rules 8210 and 2010. FINRA Case No. 20240827888 (January 8, 2025). The potential allegations against Webber include failure to appear for testimony and failure to produce requested documents and information. The investigation remains pending.
FINRA Public Disclosure shows that Webber was discharged from Raymond James Financial Services Inc. on July 2, 2024, due to allegations of failing to follow firm procedures and violating FINRA Rule 3240 concerning the receipt of a loan from a customer. Prior to this, FINRA Public Disclosure shows that a customer initiated investment related complaint was filed on June 20, 2020, during Webber’s tenure at Ameriprise Financial Services, LLC. The customer alleged that Webber assisted another joint account owner in misappropriating funds into a bank account that the complainant had no access to. The claim was denied on July 24, 2020, and no damages were awarded.
Webber was registered with Raymond James Financial Services Inc. from September 2022 to July 2024 and Ameriprise Financial Services, LLC from December 2006 to September 2022.
