Raymond James Financial Services Tag Archives

Broker Patricia Gleason in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Gleason (Gleason), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gleason 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 $500,000.00 on February 12, 2021.

Claimants allege that their registered representative recommended unsuitable alternative investments.

Broker Taek Chong in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taek Chong (Chong), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chong 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 $73,814.52 on February 09, 2021.

Former FA charged commissions to client [REDACTED] Securities Trust Co., Ltd., in excess of the applicable rate using “dummy” confirmations.

Broker Rives Allen in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rives Allen (Allen), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $48,836.00 on December 09, 2025.

Client alleges FA placed them in unsuitable investments. Allegation Activity Dates: 06/03/2021 to 03/26/2025

Broker Brian Rimel in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rimel (Rimel), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimel 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 $108,149.15 on January 13, 2026.

Custodian of UTMA accounts for his children alleges (1) FA improperly refused to purchase a low-priced security for the UTMA accounts and (2) FA’s recommendation of a money market fund for those accounts was unsuitable.

There are Recent Customer Complaints with Broker Janine Zander in Firm Raymond James Financial Services, INC.

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janine Zander (Zander), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zander 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 $18,880.00 on April 26, 2021.

Client alleges the former FA omitted capital gain consequences of actions she proposed in selling existing assets to purchase various John Hancock mutual funds resulting in a tax bill of $18,880.00.

There are Recent Customer Complaints with Broker Timothy Bartelt in Firm Raymond James Financial Services, INC.

February 16, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Timothy Bartelt (Bartelt), currently associated with Raymond James Financial Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Bartelt concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on May 19, 2021.

FA recommended unsuitable investments, over-concentrated claimant in energy sector securities, misrepresented the nature of certain securities, and engaged in churning.

Broker Jeffrey Ingros in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Ingros (Ingros), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ingros 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 $28,000.00 on August 19, 2021.

The customer alleges unsuitable investment recommendations, misrepresentations and omissions of material fact .

There are Recent Customer Complaints with Broker Michael Gunter in Firm Raymond James Financial Services, INC.

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 30, 2021.

Client alleges that now-deceased FA caused checks to be written from client’s account for unauthorized purposes.

Broker Ryan Young in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

CLIENT ALLEGES HE WAS NOT INFORMED OF THE TAX RAMIFICATIONS DUE TO THE CONVERSION OF EFT’S TO MUTUAL FUNDS AND INCURRED OVER $300,000 IN LONG TERM GAINS. THIS ACTIVITY OCCURRED ON OCTOBER 5, 2021.

Broker Mark Boucher in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Boucher (Boucher), previously associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Boucher recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 13, 2022.

Respondent Boucher failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.