August 3, 2019
John Wyshak (CRD # 1272260) was a Financial Advisor at Raymond James in Los Angeles, CA. John Wyshak has been in the securities industry since 1984 and previously worked at Wedbush Securities. According to publicy available records released by the Financial Industry Regulatory Authority (FINRA), in June 2019, a customer filed a complaint against John […]
July 10, 2019
Gregory Lane was a Financial Advisor at Raymond James in Belleville, Illinois. Gregory Lane has been in the securities industry since 1985 and previously worked at Morgan Keegan. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2018, Gregory Lane was “Permitted to Resign” from Raymond James after it […]
March 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), […]
March 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 […]
March 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 […]
February 17, 2019
Robert Clayson is a former Financial Advisor at Raymond James in Wellesley Hills, MA. Robert Clayson has been in the securities industry since 1971 and previously worked at Wells Fargo. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 15, 2018, Robert Clayson was discharged from Raymond James for […]
December 23, 2018
The Wolper Law Firm, P.A. is currently investigating claims against former Raymond James and Cantella & Associates Financial Advisor, Peter Marketos. Peter Marketos has been in the securities industry since the 1990s and previously worked at Oppenheimer. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 18, 2018, Peter […]
November 18, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Stephen Murray, a former Financial Adviser at Raymond James in Palm Beach Gardens, FL. Stephen Murray has been in the securities industry since the 1970s and has worked for Morgan Keegan & Co. According to publicly available records released by the Financial Industry Regulatory Authority […]
November 11, 2018
The Wolper Law Firm, P.A. 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 […]
October 14, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Taek Chong, a former Financial Advisor at Raymond James in Mercer Island, Washington. Taek Chong has been in the securities industry since the 1980s and previously worked at Deutsche Bank. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June […]