Articles Tagged with Raymond James & Associates

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Pahnke (Pahnke), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pahnke 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 $85,000.00 on November 01, 2020.

The clients expressed grievances that the advisor’s management of their accounts in the spring of 2020 resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Armijo (Armijo), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Armijo 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 $50,000.00 on November 23, 2020.

Time Frame: January 09, 2012 to December 27, 2018 The client’s Attorney alleges irregularities in regards to not disclosing the fees on C shares.

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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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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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