Raymond James Financial Services

Broker Ryan Tiedeberg in Raymond James Financial Services, INC. Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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.

Broker Christopher Sivley in Raymond James Financial Services, INC. Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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.

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

June 7, 2025 | by Staff Attorney

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.

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

May 27, 2025 | by Staff Attorney

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).

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

May 23, 2025 | by Staff Attorney

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.

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

May 21, 2025 | by Staff Attorney

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.

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.