Raymond James Financial Services Tag Archives

Broker Francesco Traina in Raymond James Financial Services, INC. Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 08, 2026.

Plaintiff alleges that in 2015, an unauthorized bank account was opened in the Plaintiff\\u2019s company\\u2019s name and signature cards were forged by the financial advisor and an unregistered employee of Wells Fargo.

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

August 7, 2026 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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.

Broker Samuel Mandan in Raymond James Financial Services, INC. Firm Has Customer Complaint

August 4, 2026 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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.

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

August 3, 2026 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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.

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

August 1, 2026 | by Staff Attorney

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.

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

July 28, 2026 | by Staff Attorney

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.

Broker Thomas Freeze in Raymond James Financial Services, INC. Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

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.

Broker Paul Stetter in Raymond James Financial Services, INC. Firm Has Customer Complaint

July 6, 2026 | by Staff Attorney

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.

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

July 3, 2026 | by Staff Attorney

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.

Broker Kendal Fordham in Raymond James Financial Services, INC. Firm Has Customer Complaint

June 27, 2026 | by Staff Attorney

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.