Tag Archives: John Wendel Gilbert

FINRA Fines Raymond James Broker For Poor Recommendations

October 22, 2018  |   Posted by :   |   Investment and Regulatory News, Over Concentration   |   0 Comments

John Wendel Gilbert of Houston Texas a stockbroker formerly employed by Raymond James Associates Inc. has been fined $7,500.00 and suspended for forty-five days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made unsuitable investment recommendations to a Raymond James customer. Letter of […]

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