Tag Archives: Ronald Harris Rothchild

Investors Sue Raymond James Over Bad Investments

Ronald Harris Rothchild of Garden City New York a stockbroker formerly registered with Raymond James Financial Services is referenced in a customer initiated investment related arbitration claim which was resolved for $50,000.00 in damages based upon accusations that (1) the customer’s account was overconcentrated in bad investments (2) fiduciary duties had been breached (3) the […]

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Raymond James Discharges Rothchild For Misconduct

Ronald Harris Rothchild of Garden City New York a stockbroker formerly employed by Raymond James Financial Services Inc. has been discharged by the firm and its advisory affiliate on April 8, 2016 supported by allegations that Rothchild (1) placed trades in a customer’s investment account that were neither suitable nor authorized by the customer and […]

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