Raymond James Financial Services

Broker Shane Boehm in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 6, 2026 | by Staff Attorney

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.

Broker Kevin Krym in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

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

Broker Michael Williams in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 31, 2026 | by Staff Attorney

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.

Broker Leo Galanti in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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.

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

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Grantham (Grantham), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grantham 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 $19,875.22 on October 26, 2020.

Client alleges unsuitable investment. Alleged Activity Date: 3/27/2020.

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.