Articles Tagged with Raymond James & Associates

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

Clients complained that the financial advisor invested their funds in an aggressive mutual fund without their authorization. (11/7/2019-3/6/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles King (King), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that King 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 $800,000.00  on March 16, 2020.

Client alleges advisor misrepresented terms of a margin loan. Alleged Activity dates: 3/18/2010 – 4/28/2017.

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Client alleges advisor failed to follow instructions. Allegation Activity Dates: 3/3/2020 – 3/23/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Radli (Radli), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Radli 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 $800,000.00  on March 24, 2020.

Client alleges unsuitable makeup of investments which resulted in losses. Allegation Activity Dates: 6/3/11 – 2/28/20.

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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 2 disclosable events. These events include 2 customer complaints, 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 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 $50,000.00  on May 01, 2026.

Complaint alleges, Inter Alia, violations of Reg-Bi with respect to Investment recommendation to invest in mutual fund Sep 2021 to Dec 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Schiro (Schiro), previously associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, 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 $14,583.84  on May 12, 2026.

Client alleged advisor failed to follow investment instructions. Allegation Activity dates: 2/2/2026 through 2/26/2026.

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

FINRA BrokerCheck shows a pending customer complaint on May 06, 2026.

Plaintiffs allege that financial advisor engaged in unauthorized trading activity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Baldwin (Baldwin), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baldwin 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 $10,000.00 on May 08, 2026.

Client alleged advisor failed to invest funds upon receipt of deposit. Allegation Activity Dates: 3/19/2026 through 5/8/2026.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corbin Hoffner (Hoffner), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffner 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 $50,000.00 on May 01, 2026.

Complaint alleges, Inter Alia, violations of Reg-Bi with respect to Investment recommendation to invest in mutual fund Sep 2021 to Dec 2022

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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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