Raymond James & Associates

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.

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

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montalvo (Montalvo), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Montalvo 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 $30,000.00 on June 09, 2025.

Client alleged Financial Advisor took an undisclosed loan and failed to repay. Allegation Activity Date: 10/31/2024.

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

October 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 13, 2023.

Claimants allege FA recommended they invest heavily in unsuitable and purportedly high-risk oil and gas investments. Allegation Activity Dates: 2010 – 2018.

Broker Dean Paugh in Raymond James & Associates, INC. Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Paugh (Paugh), currently associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Paugh 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 $54,770.50 on April 18, 2023.

The client alleges investments were not suitable.

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

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Sherman (Sherman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sherman 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 $23,750.00 on August 07, 2025.

The client alleged the advisor placed unauthorized trades. Allegation dates: 4/16/2025 – 7/15/2025.

Broker Michael Magruder in Raymond James & Associates, INC. Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Magruder (Magruder), previously associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Magruder recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 22, 2025.

Respondent Magruder failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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

September 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 15, 2023.

Plaintiffs allege FA engaged in unauthorized trading, misrepresented to Raymond James that the trading was authorized, and concentrated their accounts in risky oil and gas securities.

Broker Kevin Duffy in Raymond James & Associates, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Duffy (Duffy), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duffy 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 $363,600.00 on April 27, 2023.

Client alleges FA neglected fiduciary responsibilities when recommending investments. Allegation Activity Dates: 1/9/2019 – 1/18/2023.

Broker William Bredt in Raymond James & Associates, INC. Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker William Bredt (Bredt) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Bredt was employed by Raymond James & Associates, INC. at the time of the activity. If you have been a victim of Bredt’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on July 16, 2025.

Client alleges he relied on representations that failed to account for the alleged weakness and structural defects in private investment.