Articles Tagged with Raymond James & Associates

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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 on June 28, 2024.

Customer alleges FA sold certain stock that customer instructed FA not to sell and that FA then bought some back without consulting customer. Allegation Activity Dates: 2/8/24 – 6/28/24.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valery Oswald (Oswald), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oswald 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 $1,883,594.00 on October 18, 2024.

A. Breach of Fiduciary Duty\, B. Negligence\, C. Actual Fraud\, D. Constructive Fraud \, E. Breach of Contract\, F. Violations of Oklahoma Uniform Securities Act of 2004\, G. Respondeat Superior

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

FINRA BrokerCheck shows a pending customer complaint on February 01, 2025.

The client alleged they were sold out of an investment to purchase an annuity and that the monthly income was misrepresented to them. Allegation Activity Dates: 1/13/2025 – 2/01/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorri Gillock Cordelli (Gillock Cordelli), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gillock Cordelli 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 $485,000.00 on March 04, 2025.

Claimant alleges his mother was a client of FA and that FA and FA’s spouse were improper beneficiaries of Claimant’s mother’s trust.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Kirby (Kirby), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kirby 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 $10,667.00  on August 19, 2024.

Claimant alleges purchase of Treasury Bills approved by Claimant became improper when Claimant’s third party bank failed to timely transfer money into Claimant’s Raymond James account to purchase the securities, thus leaving the securities to be purchased with margin.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Esteves-dixon (Esteves-dixon), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Esteves-dixon 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 $10,667.00  on August 19, 2024.

Claimant alleges purchase of Treasury Bills approved by Claimant became improper when Claimant’s third party bank failed to timely transfer money into Claimant’s Raymond James account to purchase the securities, thus leaving the securities to be purchased with margin.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Swift (Swift), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Swift 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 $28,783.15  on August 28, 2024.

The client alleged the variable annuity was not appropriate based on her age and that the tax treatment was not communicated at point of sale. Allegation Activity Dates: 4/26/2022 – 8/28/2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Dunn (Dunn), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dunn 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 $8,000,000.00  on January 15, 2025.

Financial elder abuse; unauthorized and unsuitable stock sales; failure to supervise and act. From 2016 to 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Comans (Comans), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Comans 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 $8,294.65 on September 11, 2024.

03/15/2024 – 09/06/2024: Client POA alleges that annuity sold in March 2024 was unsuitable. Upon receipt of the complaint/concerns from POA, program agreed this was not a suitable investment that was recommended by the advisor to the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Crossen (Crossen), previously associated with Raymond James & Associates, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Crossen 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 $450,000.00 on September 10, 2024.

ATTORNEY FOR EX-SPOUSE OF FA ALLEGES, INTER ALIA,  THAT THE FA MADE UNAUTHORIZED AND UNSUITABLE TRANSACTIONS IN THIER JOINT ACCOUNT  2016-2022

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