Raymond James complaint Archives

Robert Rex, Esq.
November 3, 2021

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, 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 November 3, 2021 September 29, 2023

Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records, Gregory C. Collier, Sr. , a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…

ER
November 2, 2021

Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY

Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g November 2, 2021 October 4, 2023

Michael Biedny Investigation August 2021- Clarence, NY According to publicly available records, Michael Biedny, a financial advisor who previously was employed by Raymond James Financial Services, Inc., discloses a regulatory event,…

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.
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.
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…

Robert Rex, Esq.
April 27, 2017

Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL

Raymond James to Purchase Scout Investments for $172M-St. Petersburg, 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 April 27, 2017 April 27, 2017

April 2017- St. Petersburg, FL Raymond James announced that they reached a deal with UMB Financial Corp (NASDAQ: UMBF) to purchase Scout Investments and its Reams Asset Management division. According…

Robert Rex, Esq.
March 28, 2017

Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL

Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, 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 28, 2017 March 28, 2017

March 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak , (CRD# 2331058) , a stockbroker who presently works for LPL Financial, discloses a pending customer dispute. The Financial Industry Regulatory Authority…

Robert Rex, Esq.
March 28, 2017

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, 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 28, 2017 March 28, 2017

April 2017-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, 2 pending…

Robert Rex, Esq.
March 1, 2017

Paul M. Alexander Jr.-Former Raymond James Broker-Discloses Customer Disputes-Palm Beach Gardens

Paul M. Alexander Jr.-Former Raymond James Broker-Discloses Customer Disputes-Palm Beach Gardens 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 1, 2017 March 1, 2017

February 2017-Palm Beach Gardens, FL According to publicly available records Paul M. Alexander, Jr. , (CRD# 4285605) , a currently unregistered stockbroker who last was employed by Raymond James & Associates, discloses a…

Robert Rex, Esq.
August 5, 2016

Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration

Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration 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 August 5, 2016 August 5, 2016

August 2016-The Villages, Florida The FINRA records of Debra R. Lambert , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…

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