Raymond James Financial Services

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

May 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Larsen (Larsen), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 $3,000,000.00 on March 21, 2025.

Client alleged trades were not in line with her risk tolerance and placed without her knowledge. Allegation Activity Dates: 12/01/2023 – 03/21/2025.

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

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Ward (Ward), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ward 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 $15,562.50 on March 28, 2025.

The client alleged the financial advisor provided poor advice and inaccurate information that resulted in a tax implication. Allegation Activity Dates: 01/01/2024 – 02/11/2025.

Broker Ronald Looney in Raymond James Financial Services, INC. Firm Has Customer Complaint

May 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Looney (Looney), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Looney 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 $10,000.00 on April 07, 2025.

The client alleged the advisor misrepresented the annuity return. 03/26/2024 – 04/06/2024

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

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jenny Powell (Powell), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Powell 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 $14,229,000.00 on April 04, 2024.

On April 4, 2024 and July 9, 2024, High Speed Alliance LLC (“HSA”) received customer complaints related to the recommendation of a potential franchise opportunity, WaterStation Technology, a water vending machine franchise. Ms. Powell was named in the customer complaints. The complaints alleged that HSA breached its fiduciary duty and failed to disclose a material conflict related to the recommendation. All complaints were settled in mediation before any arbitration or civil complaint was initiated. HSA and Ms. Powell deny all liability related to these claims.

Broker Nicole Middendorf in Raymond James Financial Services, INC. Firm Has Customer Complaint

May 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alison 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.

Broker Scott Broadbent in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

Previously financial advisor Scott Broadbent (Broadbent), previously employed by brokerage firm Raymond James Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on June 12, 2024.

Clients allege that a recommendation of a non-traded REIT was unsuitable for them.

Broker Fred Fryer in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Fryer (Fryer), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fryer 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 $55,423.00 on February 13, 2025.

Client alleged advisor gave incorrect advice regarding IRA rollover rules resulting in a tax implication. Allegation Activity Dates: 7/01/2024 – 9/10/2024.

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

April 16, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Kendal Fordham (Fordham), previously employed by Raymond James Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Fordham’s most recent customer complaint alleges that Fordham recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on February 20, 2025.

Plaintiff alleges recommendation of unsuitable structured products and overconcentration of same due to losses from Client’s decision to liquidate notes prior to maturity

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

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwayne Stallings (Stallings), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stallings 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 $47,300.00 on February 21, 2025.

Client alleged that advisor guaranteed a rate of return that was not achieved, that they did not disclose risk of loss of principle, and did not update investment strategy after inheriting funds.