Raymond James & Associates

Broker Ruben Frezzotti in Raymond James & Associates, INC. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruben Frezzotti (Frezzotti), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frezzotti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000,000.00 on July 22, 2021.

Claimants allege FA recommended unsuitable investments in an offshore fixed annuity whose issuer is no longer solvent and is under liquidation order. Allegation Activity Dates: 9/17/2007 to Present.

Broker Gregory Duncan Peters in Raymond James & Associates, INC. Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Duncan Peters (Duncan Peters), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan Peters recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 13, 2021.

Arbitration: Claimant alleges that in 2016, the FA recommended an unsuitable securities-backed line of credit (“SBLOC”). \, \, Complaint: Attorney for client alleged the financial advisor recommended an unsuitable securities-backed line of credit which resulted in losses, costs and financing charges. (1/7/2016-12/1/2020)

There are Recent Customer Complaints with Broker Claudia Ochoa Espejo in Firm Raymond James & Associates, INC.

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claudia Ochoa Espejo (Ochoa Espejo), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ochoa Espejo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $119,310.57 on September 24, 2021.

Claimant alleges poor advice with respect to withdrawals from a non-qualified deferred variable annuity and subsequent purchase of a variable life insurance policy.

Broker Leonard Boniface in Raymond James & Associates, INC. Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Boniface (Boniface), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Boniface recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,820.33 on November 15, 2021.

Claimant alleges he was appointed POA for his mother and instructed FA not to execute any trades in his mother’s accounts without his approval but those instructions were not followed. Allegation Activity Dates: 3/21/19 – 6/30/21.

Broker Matthew Grubb in Raymond James & Associates, INC. Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Grubb (Grubb), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grubb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $34,038.00 on December 09, 2025.

COMPLAINT ALLEGES VIOLATION OF REG-BI WITH RESPECT TO INVESTMENT RECOMMENDATION TO INVEST IN MUTUAL FUND 2021

There are Recent Customer Complaints with Broker Mitchell Silverman in Firm Raymond James & Associates, INC.

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Silverman (Silverman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $9,880.66 on January 20, 2022.

Client alleges trades were placed without approval.

Broker Janet Moses in Raymond James & Associates, INC. Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Moses (Moses), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moses recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $8,342.00 on June 25, 2025.

Client alleged that an uninvested cash balance in their account earned no return resulting in a loss of opportunity for growth.

Broker Mitchell Silverman in Raymond James & Associates, INC. Firm Has Customer Complaint

December 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Silverman (Silverman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $9,880.66 on January 20, 2022.

Client alleges trades were placed without approval.

Broker Donald Laurence in Raymond James & Associates, INC. Firm Has Customer Complaint

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Laurence (Laurence), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Laurence recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on January 11, 2023.

Improper Asset Allocation caused losses

Broker Dennis Michels in Raymond James & Associates, INC. Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Michels (Michels), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Michels recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $20,909.00 on September 30, 2025.

Client alleges that he gave FA instructions to buy a specific stock and that FA confirmed stock purchase on a specific date but later said the trade did not go through and stock was not purchased until several days later. Client also alleges that FA compensated him for the alleged delay.