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Recent Posts in Raymond James Category

Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk

Investing on margin—which means investing funds that are borrowed from a brokerage firm—can look attractive because of the potential for great returns. On the other hand, buying on margin ...
Continue reading "Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk" »

Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm

FINRA fined and suspended former Raymond James Financial Services broker and registered supervisor Michael Murphy Hurtgen for soliciting firm customers to invest in private placements away from the ...
Continue reading "Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm" »

David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award

FINRA barred former Madison Avenue Securities (San Diego, CA) broker David Lloyd Barber after finding he exercised discretion and effected unauthorized trades in customer accounts. The bar follows a ...
Continue reading "David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award" »

Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly

The oil-and-gas Master Limited Partnership (MLP) Linn Energy (NASDAQ: LINE) plunged its investors further into financial peril with a 2016 Chapter 11 Bankruptcy filing, while a Bankruptcy Court this ...
Continue reading "Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly" »

Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy

FINRA fined and suspended former Edward Jones and Raymond James Financial Services broker Mitchell Glenn Behm of Colorado for taking a $180,000 loan from an elderly customer at the firm in order to ...
Continue reading "Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy" »

Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors

FINRA barred former Raymond James & Associates broker Scott Allen Sibley for effecting approximately 900 securities transactions in the account of a 62-year-old client unable to work for medical ...
Continue reading "Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors" »

James Calder Sanctioned for Unauthorized Outside Business Activity

FINRA fined ex-Raymond James Financial Services broker James David Calder II for engaging in an outside business activity without firm approval. Calder purportedly sold life settlement contracts ...
Continue reading "James Calder Sanctioned for Unauthorized Outside Business Activity" »

Alejandra Valenzuela Barred for Improper Conversion at Morgan Stanley

FINRA barred former Raymond James & Associates (Beverly Hills, CA) and Morgan Stanley (Brea, CA) broker Alejandra Valenzuela for improperly converting funds from Morgan Stanley when she was ...
Continue reading "Alejandra Valenzuela Barred for Improper Conversion at Morgan Stanley" »

Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse

FINRA fined, suspended, and ordered restitution of former Edward Jones (Paradise, CA) and Raymond James (Chico, CA) broker Ciro "Nick" Gilbert Cavazos for borrowing money from a client in ...
Continue reading "Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse" »

James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment

FINRA barred former JP Morgan Securities and Raymond James Financial Services broker James Earl Mahan III for failing to cooperate with an investigation into his recommendation of an unapproved ...
Continue reading "James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment" »

Ex-Merrill Lynch Broker John Arnold Sanctioned After His False Statements, Procedural Failures Allow Fraudster to Steal $127,200

FINRA suspended broker John Joseph Arnold, formerly of Merrill Lynch's Newport Beach, CA branch, and fined him $15,000 for failing to verify the identity of a customer prior to executing a wire ...
Continue reading "Ex-Merrill Lynch Broker John Arnold Sanctioned After His False Statements, Procedural Failures Allow Fraudster to Steal $127,200" »

Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend

This month, the Massachusetts Securities Division sent a message to several hundred brokerages with above-average numbers of representatives with at least one misconduct report on their records: Firms ...
Continue reading "Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend" »

Raymond James Fined $17 Million for Systematic Anti-Money Laundering Failures

FINRA fined Raymond James & Associates, Inc. and Raymond James Financial Services a total of $17 million for widespread compliance failures related to anti-money laundering (AML) systems, issuing ...
Continue reading "Raymond James Fined $17 Million for Systematic Anti-Money Laundering Failures" »

7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers

A recent industry-wide study of financial advisers found that seven percent of all advisers have been disciplined for misconduct, such as trading in customer accounts without permission or making ...
Continue reading "7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers" »

FINRA Bars John Anthony Waszolek for Improperly Appointing Himself Successor Trustee for Diminished Capacity Elder, Attempting to Inherit $1.8 Million

FINRA barred former UBS Financial Services and Morgan Stanley broker John Anthony Waszolek of Scottsdale, Arizona for appointing himself successor trustee and attempting to collect a multi-million ...
Continue reading "FINRA Bars John Anthony Waszolek for Improperly Appointing Himself Successor Trustee for Diminished Capacity Elder, Attempting to Inherit $1.8 Million" »

Jo Ellen Fisher Barred, Sued for Allegedly Stealing $1 Million from 95-Year-Old Client

FINRA barred former Raymond James Financial Services, Inc. financial advisor Jo Ellen Fisher for allegedly misappropriating almost $1 million from an elderly client by converting funds without the ...
Continue reading "Jo Ellen Fisher Barred, Sued for Allegedly Stealing $1 Million from 95-Year-Old Client" »

Morgan Keegan, Stephens Inc. Fined, Restitution Ordered for Inappropriate Volatile Nontraditional ETF Sales

The Arkansas Securities Department fined two FINRA member firms, Morgan Keegan & Co. (now merged into Raymond James) and Stephens Inc. a total of $40,000. In addition, the Arkansas Securities ...
Continue reading "Morgan Keegan, Stephens Inc. Fined, Restitution Ordered for Inappropriate Volatile Nontraditional ETF Sales" »

Paul David Arnold Barred for Misappropriating $242,000 from Elderly Customer's Brokerage Account

FINRA barred registered principal Paul David Arnold for the alleged misappropriation of $242,000 from an elderly customer's brokerage account to a bank account. Though the OHO did not order ...
Continue reading "Paul David Arnold Barred for Misappropriating $242,000 from Elderly Customer's Brokerage Account" »

David Lloyd Barber Fined and Suspended for Improper Loans, Concealment from Firm

FINRA suspended broker David Lloyd Barber of Rancho Santa Fe, California and fined him $25,000 for improperly receiving five loans totaling $867,000 from multiple customers of Barber's at Raymond ...
Continue reading "David Lloyd Barber Fined and Suspended for Improper Loans, Concealment from Firm" »
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