Articles Tagged with Raymond James & Associates

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $2,526,000.00 on February 04, 2021.

Parker was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; misrepresentation and non-disclosure; negligence and gross negligence; breach of contract and warranties; violation of Mississippi Securities Act; failure to supervise; and control person liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Price (Price), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Price 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 $19,096.28 on February 10, 2021.

Client alleges unauthorized trading and uninvested credit balances. Allegation Activity Dates: 3/1/2017 – 1/29/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Schmitt (Schmitt), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmitt 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 $950,000.00 on December 10, 2025.

Claimant alleges FA made unsuitable investment recommendations and liquidated certain positions and exercised a corporate action for one stock without Claimant’s authorization.

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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2021.

The customer alleges failure to follow instructions in December 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodrigo Sideris (Sideris), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sideris 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 $1,457,700.00 on March 12, 2021.

Claimant alleged, inter alia, misrepresentation with respect to recommendation to utilize Liquidity Access Line to borrow funds and assurance that earnings generated from the holdings in his brokerage account would cover the interest payments on the Line.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander De Oliveira (De Oliveira), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that De Oliveira 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 $1,457,700.00 on March 12, 2021.

Claimant alleged, inter alia, misrepresentation with respect to recommendation to utilize Liquidity Access Line to borrow funds and assurance that earnings generated from the holdings in his brokerage account would cover the interest payments on the Line.

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Time Frame: October 23, 2020\, What were the allegations against the individual? \, The trustee alleges her Financial Advisor dd not follow her instructions and her security was sold which caused tax implications. The alleged damages are estimated to be in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marina Tudela (Tudela), currently associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tudela 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 $150,000.00 on April 16, 2021.

Time frame: From 2011 through 2017. Claimant alleges his investments in Puerto Rico municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments.

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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 pending customer complaint with a damage request of $189,500.00 on December 11, 2025.

Client alleged Financial Advisor took an undisclosed loan and failed to repay. Allegation Activity Date: 05/02/2024 – 12/11/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Miller (Miller), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $20,350.44 on December 07, 2025.

Client alleges advisor did not invest funds upon deposit. Allegation Activity Dates: 08/30/2018 – 12/07/2025

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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