Tag Archives: James Edward Lyons

Raymond James Sued By Investors For Fraud

James Edward Lyons of Shreveport Louisiana a stockbroker employed by Raymond James Associates Inc. has been referenced in a customer initiated investment related arbitration claim in which the customer had been awarded $2,986,708.96 in compensatory damages supported by Raymond James Associates being found liable on the customer’s claims which included that (1) mutual funds, stocks […]

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Raymond James Broker Barred For Hindering Investigation

June 21, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

James Edward Lyons of Shreveport Louisiana 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 consenting to findings that he obstructed a FINRA investigation into allegation of his unauthorized trading in customer accounts. Letter of Acceptance […]

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Customer Sues Raymond James For Securities Fraud

November 07, 2017  |   Posted by :   |   Over Concentration, Securities Fraud   |   0 Comments

James Edward Lyons, of Shreveport, Louisiana, a stockbroker formerly registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related civil dispute, containing allegations of breach of contract, breach of fiduciary duty, fraudulent omissions, violations of federal securities laws, and violations of the securities laws of the State of Louisiana […]

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Raymond James Stockbroker Fired For Unauthorized Trading

July 29, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

James Edward Lyons, of Shreveport, Louisiana, a stockbroker for Raymond James & Associates, Inc., was terminated from employment on April 28, 2017, based upon a customer’s allegations that Lyons effected trades in the customer’s investment account despite failing to first gain proper authorization from the customer. In response to his denial of any misconduct, his […]

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