Articles Tagged with Raymond James & Associates

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

FINRA BrokerCheck shows a settled customer complaint on August 05, 2020.

Client alleges unauthorized trading and unsuitable investments. 12/4/09 – 6/30/21

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wyshak (Wyshak), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wyshak 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 $1,583,810.00 on December 29, 2020.

Claimant’s allegations include unsuitable investments from July 2010 to October 2014.

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege unauthorized trading, failure to adequately disclosure fees, failure to communicate with Claimants about their investments despite receiving account fees, and improperly receiving both mutual fund commissions and account fees. Alleged Activity Dates: 2/13/2009 to present.

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege FAs failed to communicate with Claimants about their investments despite receiving account fees and improperly received both mutual fund commissions and account fees. Alleged Activity Dates: 2/13/2009 to present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Schiro (Schiro), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schiro 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 $225,000.00 on December 18, 2025.

On 12/18/2025, the firm received a written customer complaint against the advisor alleging various claims, including but not limited to unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Honor Rodgers (Rodgers), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodgers 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 $5,055.72 on January 12, 2026.

Client alleged they did not receive services for management fees they paid. Allegation activity dates: 06/24/2024 – 01/12/2026

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Sobel (Sobel), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sobel 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 $1,000,000.00 on September 15, 2020.

Claimant alleges that from 2014 to 2016, DBSI made unsuitable investments in Claimant’s discretionary account. Claimant asserts several causes of action including breach of contract, unsuitability and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Richter (Richter), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Richter 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 $350,000.00 on September 18, 2020.

Client alleges FA failed to properly invest claimants funds in accordance with her risk and objectives. Allegation Activity Dates: 8/5/2011 to Present.

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

FINRA BrokerCheck shows a settled customer complaint on October 12, 2020.

Claimant alleges, inter alia, unauthorized trading with respect to investments – Jul, 2012- Apr, 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conor Sheehan (Sheehan), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheehan 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 $20,000.00 on October 20, 2020.

Client alleges advisor did not invest assets as directed.

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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