Raymond James & Associates Inc. Fraud and/or Investment Loss Customer Complaint Disclosures
Raymond James & Associates Inc.: (CRD#:705/SEC#: 801-10418,8-10999)
This firm is located in St. Petersberg, Florida and is licensed in 53 U.S. States and Territories. It was first formed in 1969 and went public in 1983. The company also includes:
- Alex Brown
- Asset Management Services
- Institutional Fiduciary Solutions
- Investment Advisory Services
- Public Finance Investments Strategies Group
- Raymond James & Associates, Inc.
- Raymond James Consulting Services
- Strategic Investment Management Services
Raymond James Financial, Inc., is the holding company. The Director of the Board is Thomas James.
Raymond James Financial (NYSE-RJF) has approximately 7,900 financial advisors throughout the United States, Canada and overseas with total client of approximately $796 billion as of March 31, 2019.
Raymond James Financial Advisor, Maria Hendershott, Has Four Disclosed Customer Complaints, Including Three Since 2016
By mwolper | Jun 2, 2019
Maria Hendershott is a Financial Advisor at Raymond James in Houston, Texas. Maria Hendershott entered the securities industry in 1976 and previously worked at Legg Mason. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2016, Maria Hendershott has been the subject of three customer complaints, alleging sales practice violations. […] Read More → 
Raymond James Financial Advisor, Joseph Esposito, Has Two Customer Complaints, Alleging Sales Practice Violations
By mwolper | Mar 25, 2019
Joseph J Esposito is a Financial Advisor at Raymond James Financial Services, Inc. in Scranton, PA. Joseph Esposito has been in the securities industry since 1979 and previously worked at Wells Fargo Advisors, LLC, Prudential Securities Incorporated and Thomson McKinnon Securities, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […] Read More →
The Wolper Law Firm Has Filed An Arbitration Against Raymond James, Based On Alleged Sales Practice Misconduct By Financial Advisor, Steven Reznick
By mwolper | Mar 25, 2019
In March 2019, the Wolper Law Firm, P.A. filed an arbitration claim against Raymond James before the Financial Industry Regulatory Authority (FINRA). The arbitration relates to alleged sales practice misconduct committed by former Raymond James Financial Advisor, Steven Reznick, who was located in Raymond James’ Tallahassee, FL branch office. The Statement of Claim seeks damages […] Read More →
INVESTOR ALERT—Raymond James Discharges Financial Advisor, Robert Sean Howard, For “Concerns” Relating To Sales of UITs
By mwolper | Mar 4, 2019
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Raymond James & Associates, Inc. terminated Financial Advisor, Robert Sean Howard, in January 2019 “due to concerns relating to the nature of advisor’s UIT activity.” Robert Howard has been in the securities industry since 1992 and previously worked at The Equitable Life […] Read More →
INVESTOR ALERT—Raymond James Financial Advisor, William Council, Has Three Pending Customer Complaints
By mwolper | Mar 1, 2019
William Council is a Financial Advisor at Raymond James in its San Diego, California branch office. William Council has been in the securities industry since 1978 and previously worked at D.A. Davidson & Co. And Crowell Weedon & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), William Council has […] Read More →
Raymond James Financial Advisor, Maria Hendershott, Has Had Three Customer Complaints Since 2017
By mwolper | Dec 29, 2018
The Wolper Law Firm is currently investigating claims against Maria Hendershott, a Financial Advisor at Raymond James in Houston, Texas. Maria Hendershott has been in the securities industry since the 1970s and previously worked at Legg Mason According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 27, 2018, a […] Read More →
INVESTOR ALERT—Raymond James Discharged Financial Advisors, Lynne Faust And Michael Faust, For “Concerns” Relating To The Sale Of Unit Investment Trusts
By mwolper | Nov 11, 2018
The Wolper Law Firm is currently investigating claims against Raymond James’ with regard to its sales practices involving Unit Investment Trusts (UITs) and, specifically, the sales practices of Raymond James Financial Advisors, Lynne Faust and Michael Faust. Lynne Faust has been in the securities industry since 1981 and her son, Michael Faust, has been in […] Read More →
Raymond James Financial Advisor, George Puliafico, Has $2 Million Pending Customer Complaint
By mwolper | Oct 24, 2018
The Wolper Law Firm is currently investigating claims against George Puliafico, a Financial Advisor at Raymond James in Walpole, Maine. George Puliafico has been in the securities industry since the 1980s and has been with Raymond James since 1999. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), April 2018, a […] Read More →
