Articles Tagged with Raymond James Financial Services

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

FINRA BrokerCheck shows a pending customer complaint on January 21, 2026.

Plaintiff makes unarticulated and incoherent generalized allegations of \\u201cbreach of fiduciary duty\\u201d without any factual information to explain what she is referring to.

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2026.

Clients state Inland REIT was misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on September 02, 2020.

Client alleges unsuitable investment strategies

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Williams (Williams), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 September 08, 2020.

Customer alleges purchases of FS Investment Corp. III and Griffin-American Healthcare REIT were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Galanti (Galanti), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Galanti 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 $1,200,000.00 on October 01, 2020.

Clients allege unsuitable investments using margin. 08/25/2010 06/30/2020.

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