Articles Tagged with Raymond James Financial Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Makin (Makin), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Makin 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 $5,000.00 on March 31, 2026.

Client alleged they were paying fees for services they were not receiving. Allegation Activity Dates: 12/5/2024 through 11/17/2025. \,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Swain (Swain), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Swain 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 $1,700,000.00 on March 09, 2026.

Claimant alleges his accounts were over-diversified and should have appreciated in value more than they did.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Dale (Dale), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dale 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 $1,700,000.00 on March 09, 2026.

Claimant alleges his accounts were over-diversified and should have appreciated in value more than they did.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Stephens (Stephens), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $120,000.00 on March 10, 2026.

Former RJFS client alleges FA improperly withdrew money from bank account\, related to business venture involving client and FA on which FA had signatory\, authority.

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

FINRA BrokerCheck shows a settled customer complaint on April 17, 2020.

Client alleges mutual fund trades placed in January 2019 were unauthorized.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Radner (Radner), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Radner 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 $475,000.00 on May 15, 2020.

Claimant alleges that in connection with an annuity surrender in or about December 2015 and subsequent investments the respondent breached its fiduciary duty, made unsuitable recommendations, committed fraud and/or was negligent, respondeat superior and failure to supervise, negligent supervision, failure to protect claimant’s assets, breach of contract, and violation of industry rules.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian 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 settled customer complaint with a damage request of $64,900.00 on May 19, 2020.

Time Frame: February 03, 2020 to April 09, 2020\<char_lb_r>\, The client alleges his shares were not sold as instructed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Mandan (Mandan), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mandan 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 $100,000.00 on June 09, 2020.

Client alleges equity liquidations placed in June 2019 were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Arndt (Arndt), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Arndt 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 $140,000.00 on June 15, 2020.

Breach of fiduciary duty, negligence, breach of contract, fraud, misrepresentation, failure to\<char_lb_r>\, supervise, failure to execute, negligent hiring, and violations of the conduct rules of FINRA.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cox (Cox), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $24,000.00 on July 06, 2020.

Client claimed registered representative recommended an unsuitable high-yield bond.

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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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