Joseph Paul Woitkoski of Pittsfield Massachusetts a stockbroker formerly employed by Raymond James Associates Inc. has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Woitkoski initiated unauthorized trades in customer accounts and caused false records and books to be maintained by […]
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Tag Archives: Raymond James and Associates Inc.
Raymond James Stockbroker Sanctioned For Unauthorized Trading
September 14, 2020 | Posted by : Guiliano Law Group | Unauthorized Trading | Comments Off on Raymond James Stockbroker Sanctioned For Unauthorized Trading
Raymond James Sued For Stockbroker Misconduct
June 30, 2018 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Churning, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
John Charles Wyshak of Los Angeles California a stockbroker currently employed by Raymond James Associates Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $1,023,460.00 in damages based upon accusations of (1) fraudulent concealment (2) breach of contract (3) conversion (4) omission of material facts (5) churning (6) breach […]
Read More »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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