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Category: Raymond James

Financial Advisor Jermaine Benjamin Accused Of Theft From A Client Account

Jermaine Benjamin (CRD#: 6152653) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2013 and previously worked for Raymond James Financial Services, Inc.; and Pruco Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Allegations of Mismanagement Leading to Investment Loss Pending Against Former Raymond James Financial Advisor Guilford Nergard

Guilford Nergard (CRD#: 2360614) is a registered Investment Advisor and previously registered Broker.   Broker’s Background   He entered the securities industry in 1993 and previously worked for San Blas Securities, LLC; Newbridge Securities Corporation; Raymond James & Associates, Inc.; Morgan Stanley; Citigroup Global Markets, Inc.; and Lehman Brothers, Inc.   Current And Past Allegations […]

Did You Purchase Northstar Financial Services (Bermuda), Ltd. From Former Raymond James And Current Citigroup Financial Advisor, Alberto Valdes

Alberto Valdes (CRD # 4378138) is a Financial Advisor at Citigroup Global Markets in Miami, FL. Eric Garcia has been in the securities industry since 2002 and has worked at Northwestern Mutual, Banc of America Investment Services, Chase Investment Services, Corp., Wells Fargo Advisors and Raymond James Financial Services. According to publicly available records released […]

FINRA Bars Previously Registered Financial Advisor Jeffrey Drost from All Capacities Indefinitely for Lack of Cooperation in Investigation

Jeffrey Drost (CRD#: 4489021) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2002 and previously worked for Raymond James Financial Services, Inc.; Ameriprise Financial Services, Inc.; Investment Professionals, Inc.; The Lincoln National Life Insurance Company; and Lincoln Financial Advisors Corporation. According to publicly available records released by […]

Raymond James Financial Advisor, Timothy Bartelt, Has Complaint Alleging Unsuitable Investments And Excessive Trading

Timothy Bartelt (CRD#: 2501532) a/k/a “Tim Bartelt” is a registered Broker at Raymond James in Elm Grove, Wisconsin. He entered the securities industry in 1994 and previously worked for Ameriprise Advisor Services, Quick & Reilly, A.G. Edwards and three other brokerage firms, one of which was expelled by FINRA. In May 2021, the Wolper Law […]

Raymond James & Associates, Inc., Financial Advisor Ricardo Armijo Has Three Customer Complaints for Allegedly Failing to Disclose Fees

Ricardo Armijo (CRD#: 2694904) is a dually registered Investment Advisor and Broker at Raymond James & Associates, Inc., in Birmingham, MI. He entered the securities industry in 1996 and previously worked for UBS Financial Services, Inc., and Citigroup Global Markets, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Raymond James Broker, Paul Stetter, Has Had Two Customer Complaint Disclosures Since 2019

Paul Stetter (CRD #4513517) is a Financial Advisor at Raymond James Financial Services in Ephrata, Pennsylvania. Paul Stetter has been in the securities industry since 2002 and previously worked at Primevest Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2019, Paul Stetter has been the subject of […]

Raymond James Financial Services, Inc. Broker, Vonna Kay Husby, Barred By FINRA For Refusing to Participate In FINRA Investigation Regarding A Bank Account She Allegedly Held With A Customer

Vonna Kay Husby (CRD # 1314070) was a Financial Advisor at Raymond James Financial Services, Inc. in Fairbanks, AK. Vonna Kay Husby has been in the securities industry since 1985 and was also registered at Ameriprise Financial Services, Inc., Morgan Stanley DW Inc., and Shearson Lehman Brothers Inc. According to publicly available records released by […]

Former Raymond James & Associates, Inc. Broker, Joseph Woitkoski, Suspended By FINRA For Thirty Days For Allegedly Exercising Discretion Without Written Authorization

Joseph Woitkoski (CRD #4172477) was a Financial Advisor at Raymond James & Associates, Inc. in Pitsfiled, MA, Merrill Lynch, Pierce, Fenner & Smith Incorporated in Albany, NY and UBS Financial Services Inc. in Weehawken, NJ. Joseph Woitkoski was in the securities industry from 1998 to 2018. According to publicly available records released by the Financial […]

Raymond James Discharges Financial Advisor, Douglas Gildenmeister, For Allegations That He Engaged In Unauthorized Trading

Douglas Gildenmeister (CRD # 801713) is a Financial Advisor at Ameriprise Financial Services in Bellevue, OH.  Douglas Gildenmeister has been in the securities industry since 1974 and previously worked at Raymond James, Wachovia Securities, Advest, and Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Raymond James “discharged” Douglas […]