According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Douglas Buczak (Buczak), previously associated with Raymond James Financial Services, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Buczak concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Davis (Davis), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Davis recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Landers (Landers), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Landers recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Fenn (Fenn), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fenn recommended unsuitable investments in different investment products including debt securities among…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), previously employed by Raymond James Financial Services, Inc. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA),…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Spangenthal (Spangenthal), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Spangenthal recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fisette (Fisette), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fisette recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Alexander (Alexander), previously associated with Raymond James Financial Services, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Alexander recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garry Martin (Martin), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Martin recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francesco Traina (Traina), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Traina recommended unsuitable investments in different investment products including debt securities among…