William Joseph Conn (also known as Bill Conn), of San Francisco, California, a stockbroker registered with Raymond James Associates Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $1,000,000.00 and $5,000,000.00 in damages based upon allegations that Conn made unsuitable recommendations, made omissions of material fact, charged excessive commissions, and engaged in unauthorized trading in stocks when Conn was associated with Raymond James Associates Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-02547 (November 21, 2022).
FINRA Public Disclosure shows that Conn is referenced in three other customer initiated investment related disputes concerning Conn’s conduct while associated with securities broker dealers. On April 25, 2001, a customer initiated investment related NASD securities arbitration claim involving Conn’s conduct was settled for $40,000.00 in damages based upon allegations that Conn breached his fiduciary duties, was negligent, breached a contract, committed fraud, engaged in unauthorized trading, and made misrepresentations of material fact in connection with the sale of equities when Conn was associated with Salomon Smith Barney. NASD Arbitration No. 01-01352.
Conn was also referenced in a FINRA securities arbitration claim that was settled for $250,000.00 in damages based upon allegations that Conn engaged in unsuitable and unauthorized trading in stocks when Conn was associated with J.P. Morgan Securities LLC. FINRA Arbitration No. 20-03351 (March 17, 2022).
Conn was associated with J.P. Morgan Securities LLC in New York, New York, as a stockbroker from March of 2012 to May of 2018. Conn was associated with Raymond James Associates Inc. in San Francisco, California, as a stockbroker and an investment adviser representative from May of 2018 to August of 2022. On July 7, 2022, Raymond James Associates Inc. discharged Conn based upon allegations that he potentially engaged in discretionary trading and an undisclosed outside business activity.
Conn has been associated with International Assets Investment Management LLC in San Francisco, California, as an investment adviser representative since September 9, 2022, and has been associated with International Assets Advisory LLC in San Francisco, California, as a stockbroker since September 13, 2022.
