Raymond James Archives

Robert Rex, Esq.
June 2, 2020

Lori Antolovic-Raymond James Broker-Discloses Regulatory Event-Dallas, TX

Lori Antolovic-Raymond James Broker-Discloses Regulatory Event-Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 2, 2020 June 2, 2020

June 2020-Dallas, TX According to publicly available records of Lori S. Antolovic , a stockbroker employed with Raymond James & Associates, Inc. , discloses a regulatory event . The Financial Industry…

Robert Rex, Esq.
April 29, 2020

Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX

Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 29, 2020 April 29, 2020

April 2020-Dallas, TX According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) , a former stockbroker who last worked for Raymond James & Associates, Inc. discloses a regulatory event…

Robert Rex, Esq.
April 21, 2020

James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX

James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 21, 2020 April 21, 2020

April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) , a former stockbroker who last worked for Raymond, James & Associates, discloses a regulatory event, 3 customer…

Robert Rex, Esq.
April 2, 2020

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 2, 2020 April 2, 2020

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event and a customer…

Robert Rex, Esq.
February 17, 2020

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 17, 2020 February 17, 2020

February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121) , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…

Robert Rex, Esq.
January 30, 2020

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020 – Atlanta, GA The FINRA records of E. Kyle Davis , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute and 3 prior customer disputes.…

Robert Rex, Esq.
May 22, 2019

Maria Hendershott-Raymond James Financial Advisor-Discloses Numerous Customer Suits-Houston, Texas

Maria Hendershott-Raymond James Financial Advisor-Discloses Numerous Customer Suits-Houston, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 22, 2019 May 22, 2019

October 2019- Houston, Texas According to publicly available records Maria E. Hendershott (CRD#818681) , a stockbroker who is currently registered Raymond James & Associates, disclose 1 pending and 4 final customer…

Robert Rex, Esq.
May 18, 2019

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 18, 2019 May 18, 2019

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor , a former stockbroker who last worked for Raymond James Financial , disclose a recent regulatory event…

Robert Rex, Esq.
March 15, 2019

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 15, 2019 February 19, 2024

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 1 pending…

Robert Rex, Esq.
March 4, 2019

Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA

Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 4, 2019 March 4, 2019

March 2019 – San Diego, CA According to publicly available records William (“Bill”) Michael Council (CRD#848504) , a stockbroker who is currently registered with Raymond James & Associates, Inc., disclose 3 pending customer disputes…

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