Robert Jeffrey Scherzer, of New York, New York, a stockbroker formerly registered with Raymond James Financial Services, Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he sold away from his firm. Letter of Acceptance, […]
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Raymond James Stockbroker Suspended For Selling Away
November 21, 2017 | Posted by : Guiliano Law Group | Selling Away and Outside Activities | 0 Comments