Articles Tagged with Raymond James & Associates

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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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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 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 settled customer complaint with a damage request of $41,459.67 on February 24, 2026.

The Firm received a written customer complaint 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 Jeffrey Frankos (Frankos), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frankos 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 $10,953,568.00 on February 25, 2026.

Customer alleges unsuitable investment recommendation and exercise of discretion in investment accounts. Activity dates April 2021 – March 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Vercellino (Vercellino), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vercellino 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 $10,953,568.00 on February 25, 2026.

Customer alleges unsuitable investment recommendation and exercise of discretion in investment accounts. Activity dates April 2021 – March 2023.

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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 one disclosable event. These events include one customer complaint, alleging that Magruder 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 $600,000.00 on March 04, 2026.

Client alleges FA borrowed money from client and failed to repay it.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Rubin (Rubin), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rubin 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 $550,000.00 on March 09, 2026.

Client alleged advisor sold them an unsuitable investment, resulting in losses. Allegation activity dates: 2/1/2022 through 4/30/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Snipes (Snipes), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Snipes 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 $8,082.00 on April 30, 2020.

Client alleges advisor gave incorrect information about taxes when withdrawing funds from an annuity. Alleged activity dates: 4/22/20 – 6/3/20

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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 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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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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