Articles Tagged with Raymond James Financial Services

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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 2 disclosable events. These events include 2 customer complaints, 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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Loessberg (Loessberg), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Loessberg 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 March 13, 2020.

The client alleges the advisor did not follow instructions to move investments to a fixed interest account. Alleged Activity Dates: 2/26/2020 – 3/13/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Freeze (Freeze), previously associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Freeze 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 $46,410.00  on July 21, 2020.

Client alleges advisor misrepresented the features of an annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Stetter (Stetter), currently associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stetter 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 $170,000.00  on July 27, 2020.

Client alleges advisor mismanaged accounts by providing unsuitable investment advice and misrepresenting investments.

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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 2 disclosable events. These events include 2 customer complaints, 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 Kendal Fordham (Fordham), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fordham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 13, 2026.

Client alleges the investments they were recommended were unsuitable for them based on their risk tolerance after losses were incurred and demanded reimbursement.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Alexander (Alexander), 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 Alexander recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 29, 2026.

Respondent Alexander failed to respond to FINRA requests for information.

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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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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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