Tag Archives: Clifford C. Vatter III

Raymond James Stockbroker Admits To Unauthorized Trading

Clifford C. Vatter III of Louisville Kentucky a stockbroker formerly registered with Raymond James Associates Inc. is the subject of an Order issued by the Commissioner of the Commonwealth of Kentucky Department of Financial Institution in which Vatter’s application to employed by International Assets Management LLC was retracted and Vatter consented to not registering as […]

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Raymond James Broker Fired For Unauthorized Trading

February 19, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Clifford C. Vatter III of Louisville Kentucky was a stockbroker formerly registered with Raymond James and Associates Inc. whom the firm fired in July 2017 based upon accusations that Vatter placed trades in a customer’s account without the customer’s authorization. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Vatter has been identified in six […]

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