Doan Cong Nguyen of Vancouver, British Columbia, a stockbroker formerly registered with Raymond James (USA) Ltd., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he did not comply with FINRA while under investigation for an undisclosed outside business activity while registered with Raymond…
Vincent Leonard Petrangelo, of Springfield, Massachusetts, a stockbroker formerly registered with Raymond James Associates Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages founded on allegations of failure to supervise stock and mutual fund trading in the customer’s account when Petrangelo was employed…
Bryan Kirk Bordelon, of New Orleans, Louisiana, a stockbroker currently registered with Raymond James Associates Inc., is identified in a customer initiated investment related written complaint on July 28, 2021, where the customer requested $31,456.45 in damages founded on accusations of Bordelon placing them in unsuitable investments including structured products between July 20, 2018, and…
Joseph Marie Andreoli Jr., of Paramaus New Jersey, a stockbroker formerly registered with Wells Fargo Clearing Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $165,000.00 in damages based upon accusations of Andreoli’s unsuitable transactions involving structured products when he was associated with Wells Fargo…
Michael Joseph McNulty (also known as Mike McNulty), of Boca Raton, Florida, a stockbroker formerly registered with Raymond James Associates Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages based upon allegations of unsuitable investment advice by McNulty concerning equities transactions when McNulty was associated…
Evan Kyle Davis (also known as Garry Davis) a stockbroker formerly registered with Raymond James Associates Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $75,000.00 in damages founded upon accusations of the violation of Securities Exchange Act of 1934 Section 10(b) in reference to the unit…
Jeffrey John Kartheiser of Sun City Center Florida a stockbroker formerly registered with Raymond James Financial Services has been ordered by Florida Office of Financial Regulation to pay a $20,000.00 fine, to cease and desist violating securities laws or rules in Florida, and to refrain from any supervisory or managerial duties in the securities industry…
Ronald Patrick Cameron of Fayetteville Arkansas a stockbroker registered with International Assets Advisory and LPL Financial LLC has been fined $5,000.00 and suspended for five weeks from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he engaged in outside business activities. Letter of Acceptance Waiver and Consent…
William Michael Council (also known as Bill Council) of San Diego California a stockbroker formerly registered with Raymond James Associates Inc. and DA Davidson Co. is referenced in a customer initiated investment related arbitration claim which was resolved for $50,000.00 in damages supported by allegations that Council’s investment recommendations were not suitable for the DA…
Stephen Allen Murray of Palm Beach Gardens Florida a stockbroker associated with Raymond James Financial Associates has been suspended from associating with any FINRA member in any capacity supported by allegations that the stockbroker neglected to comply with an arbitration award filed against him by Raymond James. FINRA Case No. 18-02556 (Apr. 2, 2019). This…
John Charles Wyshak of Los Angeles California a stockbroker formerly registered with Raymond James Associates Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to provide information to FINRA after it was requested of him. Case No. 2018057445601 (Feb. 3, 2020)….
Mitchell Louis Silverman of Boca Raton Florida a stockbroker currently registered with Raymond James Associates Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $10,000.00 in damages based upon allegations that (1) the customer was defrauded by making purported stock purchases through Silverman (2) an investment contract was…
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…
Thomas Whitmeyer O’Brien of Shreveport Louisiana a stockbroker currently registered with Raymond James Associates Inc. is the subject of a customer initiated investment related arbitration claim where the customer was awarded $2,986,708.96 in compensatory damages based on Raymond James Associates being found liable on the customers’ claims which included that Raymond James failed to supervise…
Cecil Allen Ross of Orlando Florida a stockbroker formerly registered with Raymond James Associates has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Ross made unsuitable recommendations of unit investment trust transactions in customer accounts. Letter…
Stuart Blake Nichols of Birmingham Alabama a stockbroker formerly registered with 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 Nichols failed to make an appearance before FINRA personnel and testify regarding accusations of his excessive trading in…
Eldridge Foster Parks of Saginaw Michigan a stockbroker employed by Raymond James Associates Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Parks failed to testify before FINRA personnel during an investigation into allegations of Parks making bad investment recommendations to customers of…
Gregory John Lane of Belleville Illinois 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 supported by findings that Lane declined to comply with requests made by FINRA as part of its investigation into Lane’s possible mishandling of trust…
Lisa Ann Detanna of Beverly Hills California a stockbroker currently registered with Raymond James Associates Inc. is the subject of a customer initiated investment related written complaint on January 22, 2019 in which the customer requested $100,000.00 in damages supported by allegations that common and stock transactions executed in the customer’s account were not suitable…
Gary George Vescio of Palm Beach Gardens Florida a stockbroker formerly registered with Raymond James Associates is the subject of a customer initiated investment related written complaint on May 21, 2016 where the customer sought $62,000.00 in damages supported by allegations that excessive stock trades were effected in the customer’s account while Vescio was employed…
Vincent Joseph Storms of Saint Petersburg Florida a broker formerly registered with Raymond James Associates Inc. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that (1) Storms falsified information to FINRA in regard to his handling of outside business activities supervisory procedures and (2) Storms neglected to…
Donald Marshall Cox a stockbroker currently employed by Raymond James Associates Inc. is referenced in a customer initiated investment related civil action in which the customer sought $2,000,000.00 in damages based upon allegations that between April of 2011 and November of 2015: (1) the customer’s funds were converted (2) the customer’s signature had been forged…
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…
Stephen Allen Murray of Palm Beach Gardens, Florida, a stockbroker formerly employed by Raymond James & Associates, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that he failed to provide FINRA with a response to the regulators’ request for Murray’s information. FINRA Case…
John Belk Daughtridge of Mount Pleasant South Carolina a stockbroker formerly employed by Raymond James Associates Inc. has been discharged by the firm on February 26, 2018 supported by accusations that Daughtridge disseminated investment related information without authorization from the firm. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Daughtridge has been identified in…
Paidemoyo Brian Charasika of Louisville Kentucky is a stockbroker formerly registered with Raymond James & Associates Inc. who is the subject of a customer initiated investment related written complaint which settled on October 26 2015 for twelve thousand five hundred dollars in damages founded on allegations that unauthorized real estate investment trust and unit investment…
Paul Anthony Steffany, of Westport, Connecticut, a stockbroker formerly registered with Raymond James & Associates, Inc., is the subject of an Order Issued by the Banking Commissioner of the State of Connecticut which permanently barred him from engaging in business as an investment advisor, broker-dealer, investment adviser agent, or broker-dealer agent. In the Matter of…
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…
Joel Nathan Burstein Jr., of Coral Gables, Florida, a stockbroker registered with Raymond James & Associates, Inc., was terminated from employment on January 27, 2017, based upon the firm’s discovery that Burstein was identified in a customer initiated investment related dispute containing allegations against him of fraud. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals…
Donald Newton McCoy, of Saint Louis, Missouri, a stockbroker registered with Raymond James & Associates, Inc., has been fired from the company on August 12, 2016, based upon allegations that he engaged in outside business activities. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that McCoy was also terminated from a prior employer, Merrill Lynch,…
Allyn Lindley Donaubauer, of Fort Smith, Arizona, a stockbroker currently registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related written complaint on April 24, 2017, in which the customer sought damages estimated at $5,000.00 based upon allegations that from July of 2016 to April of 2017, Donaubauer made…
Gabriel Yanez Jr., of Newport Beach, California, a stockbroker formerly registered with Raymond James And Associates, Inc., has been named in a customer initiated investment related arbitration claim on April 12, 2017, in which the customer requested $700,000.00 in damages based upon allegations that Yanez engaged in deceptive trade practices, negligently handled the customer’s investment…
Joanna Espasas of Miami, Florida, a stockbroker formerly registered with Popular Securities, LLC, has been named in a customer initiated investment related arbitration claim on December 21, 2015, in which the customer requested $1,173,866.00 in damages based upon allegations that Espasas made unsuitable recommendations to the customer concerning corporate debt and closed-end funds. The customer…
Peter Chris Marketos, of Paramus, New Jersey, a stockbroker formerly registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related written complaint on March 2, 2017, in which the customer requested more than $5,000.00 in damages based upon allegations that Marketos, from October of 2014 to February of 2016,…
Melody Vuicich Kump, of Austin, Texas, a stockbroker currently registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related written complaint on April 4, 2017, in which the customer requested $24,134.00 in damages based upon allegations that Kump, between 2013 and 2017, engaged in sales practice violations and effected…
Scott Allen Sibley, of Fort Lauderdale, Florida, a stockbroker formerly registered with Raymond James & Associates, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Sibley, inter alia, made unsuitable investment recommendations to customers, traded in customer accounts without authorization,…
Matthew Aaron Bell, of San Antonio, Texas, a stockbroker formerly registered with WFG Investments, Inc., has been named in a customer initiated investment related written complaint, which settled on February 10, 2017, for $43,000.00 in damages based upon allegations that Bell made unsuitable investment recommendations to the customer regarding over-the-counter equity products. Financial Industry Regulatory…
Todd Douglas Ryman, of Atlanta, Georgia, a stockbroker formerly registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related written complaint on February 15, 2017, in which the customer requested $300,000.00 in damages based upon allegations that Ryman committed securities related misconduct in reference to the customer’s transactions regarding…
Joel Nathan Burstein, of Coral Gables, Florida, a stockbroker currently registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related arbitration claim or civil action on March 5, 2016, in which the customer requested $200,000,000.00 in damages based upon allegations including fraud, theft, misappropriation of customer funds, conspiracy to…
John N. Crook, of Macon, Georgia, a stockbroker formerly registered with Raymond James & Associates, Inc., has been named in a customer initiated investment related arbitration claim on August 18, 2016, in which the customer requested $4,800,000.00 in damages based upon allegations including breach of contract, negligence, intentional omissions and misrepresentation, fraud, breach of fiduciary…
Claus C. Foerster, of Greenville, South Carolina, a stockbroker formerly registered with Raymond James & Associates, Inc., has been subject to a customer initiated investment related arbitration claim on March 26, 2015, in which the customer requested $509,100.00 in damages based upon allegations that Foerster committed forgery and misappropriated the customer’s monies. FINRA Public Disclosure…