Tag Archives: Brett Allen Defore

Raymond James Broker Barred For Ignoring FINRA

September 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Brett Allen Defore of Venice Florida a stockbroker formerly employed by Raymond James Associates Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to cooperate with FINRA by not responding to a request for information. Case No. 2017053983501 (Oct. 2, 2017). […]

Read More »