February 2019- Port Charlotte, FL According to publicly available records Marc Allen Miller II (CRD#4521825) , a stockbroker registered with Raymond James & Associates, disclose a pending customer dispute. The Financial Industry Regulatory Authority…
read moreFebruary 2019- Lafayette, LA According to publicly available records Mark Tauzin (CRD#1716373) , a currently unregistered stockbroker who was last registered with LPL Financial, disclose a regulatory event , a prior customer dispute…
read moreJuly 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…
read moreJune 2018-The Villages, Florida According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a…
read moreMarch 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…
read moreFebruary 2018-Shreveport, LA The FINRA records of Thomas W. O’Brien, a stockbroker who is currently employed by Raymond James & Assoc. disclose 2 pending customer disputes and 2 prior final customer disputes.…
read moreAugust 2018- The FINRA records of Kelly Gene Richards , (CRD 4918409), a stockbroker who is currently employed by First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…
read moreMay 2017-Borger, TX The FINRA records of James D. Calder II, a unregistered stockbroker who was last employed by Raymond James Financial Services disclose a final regulatory event and a customer dispute that has been settled.…
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