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Department of Financial Institution in which Vatter’s application to employed by International Assets Management LLC was retracted and Vatter consented to not registering as […]
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Tag Archives: Clifford C. Vatter III
Raymond James Stockbroker Admits To Unauthorized Trading
July 02, 2019 | Posted by : Guiliano Law Group | Bond Fraud, Breach of Fiduciary Duty, Investment and Regulatory News, Unauthorized Trading | 0 Comments
Raymond James Broker Fired For Unauthorized Trading
February 19, 2018 | Posted by : Guiliano Law Group | 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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