Articles Tagged with Raymond James Financial Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Koba (Koba), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Koba 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 $9,484.22 on September 11, 2023.

The client alleged investments were not suitable.

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

FINRA BrokerCheck shows a settled customer complaint on September 15, 2023.

Client complained that FA sold certain securities in client’s discretionary account without client’s approval.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charlotte Mcconnell (Mcconnell), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcconnell 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 $300,000.00 on November 13, 2023.

Claimants allege unsuitable investment recommendations which resulted in losses.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Andrew Lilly (Lilly), currently associated with Raymond James Financial Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Lilly  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on December 19, 2023.

Claimants allege FA made unsuitable recommendations to purchase and hold a REIT investment and allegedly failed to disclose that the investment paid high commissions and was illiquid.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Tiedeberg (Tiedeberg), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tiedeberg 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 $500,000.00 on January 09, 2024.

Client alleged Registered Representative, along with other members of the client’s investment team, provided poor market and investment advice resulting in losses exceeding $200,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Sivley (Sivley), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sivley 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 $500,000.00 on January 09, 2024.

Client alleged Registered Representative provided poor market and investment advice resulting in losses exceeding $200,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Watts (Watts), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Watts 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 $24,999.00 on January 22, 2024.

Claimant, as Personal Representative of the Estate of the Client, alleges various claims relating to the purchase of Standard Lithium, Ltd. stock on or about August 23, 2023.

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2024.

Arbitration: Claimants allege that in or about February 2022, the financial advisor recommended they take out a loan through their investment account to pay off a building mortgage and the financial advisor made poor investment choices Complaint: Attorney for two linked entities complained the financial advisor invested funds without authorization and advised using a loan against securities, resulting in losses. (9/14/2022-6/30/2023).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Hamilton (Hamilton), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $251,901.00 on June 05, 2024.

Executrix of deceased client’s estate alleges concerns over alleged mutual fund share classes in client’s account, missed breakpoints, rights of accumulation, and excessive commissions and fees, and also alleges possible concerns regarding the suitability of a non-qualified annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Tipton (Tipton), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tipton 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 $470,000.00 on March 03, 2025.

Client alleges she was not advised of the tax implications involved in a transfer and claims she would not have liquidated or transferred the account had she known.

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New York, NY 10017
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#100
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#1
Montclair, NJ 07042
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