Raymond James Financial Services

There are Recent Customer Complaints with Broker Mario Payne in Firm Raymond James Financial Services, Inc.

February 15, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), 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), Payne’s most recent customer complaint alleges that Payne 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 $5,000,000.00 on January 15, 2025.

Claimants allege FA improperly engaged in a high-risk, illiquid, complex, and unsuitable investment strategy that concentrated them in structured products such as structured notes, and they also allege the products were misrepresented as safe, guaranteed, and insured.

There are Recent Customer Complaints with Broker Devere Dudley in Firm Raymond James Financial Services, Inc.

February 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on July 26, 2023.

Respondent Dudley failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Francisco Marquez in Firm Raymond James Financial Services, Inc.

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Marquez (Marquez), previously associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Marquez 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 $26,524.75 on May 01, 2024.

The client alleged the advisor placed unauthorized trades.

There are Recent Customer Complaints with Broker Mario Payne in Firm Raymond James Financial Services, Inc.

February 5, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), previously employed by Raymond James Financial Services, Inc. has been subject to at least 4 disclosable events. These events include 4 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Payne’s most recent customer complaint alleges that Payne 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 $5,000,000.00 on January 07, 2025.

Claimants allege fa improperly engaged in a high-risk, illiquid, complex, and unsuitable investment strategy that concentrated them in structured products such as structured notes, and they also allege the products were misrepresented as safe, guaranteed, and insured.

There are Recent Customer Complaints with Broker William Cooke in Firm Raymond James Financial Services, Inc.

February 5, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Cooke (Cooke), previously 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 Cooke concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $72,156.06 on December 16, 2024.

Complaint from the financial advisor’s spouse alleges he placed excessive trades, entered two unauthorized trades and signed her name on two documents to move the cash from her ira.

There are Recent Customer Complaints with Broker James Peterson in Firm Raymond James Financial Services, Inc.

February 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 27, 2024.

Client alleged the advisor misappropriated funds and accepted forged documents to establish accounts. Allegation activity dates: 4/26/2010 – 12/24/24.

Broker Andrew Krieger in Raymond James Financial Services, Inc. Firm Has Customer Complaint

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Krieger (Krieger), previously associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Krieger 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 $90,000.00 on December 30, 2024.

Claimant alleges fa failed to invest the cash in her rollover ira. Allegation activity dates: 11/25/2014 – 02/01/2021.

There are Recent Customer Complaints with Broker Christopher Campbell in Firm Raymond James Financial Services, Inc.

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Campbell (Campbell), currently associated with Raymond James Financial Services, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Campbell 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 $282,537.50 on November 14, 2024.

Plaintiffs allege investing in a real estate investment based on FAs’ misrepresentations.

There are Recent Customer Complaints with Broker Tiffany Lyga in Firm Raymond James Financial Services, Inc.

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tiffany Lyga (Lyga), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Lyga 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 $108,676.20 on November 25, 2024.

The client alleged an annuity was not a suitable investment.

Raymond James Advisor Matthew Werthe Alleged to Have Recommended Unsuitable Securities

July 27, 2018 | by Staff Attorney

According to BrokerCheck records financial advisor Matthew Werthe (Werthe), employed by Raymond James Financial Services, Inc. (Raymond James), has been subject to three customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA) Werthe has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). The law offices of Gana Weinstein LLP continue to report on investor related losses and potential legal remedies due to recommendations to investor in oil and gas and commodities related investments.

The most recent claim was filed in April 2018 and alleges fraud, excessive trading, churning, unauthorized trading, Ohio consumer fraud, breach of fiduciary duty, unsuitability, breach of contract, negligence, and unjust enrichment. The customer claimed $728,000 in damages and the claim is currently pending.

Our firm handles claims and is also investigating securities claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks.