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Category Raymond James

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

January 10, 2020

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…

Cecil Ross

December 22, 2019

Cecil Ross (CRD # 2391047) is a Financial Advisor at LPL Financial in San Angelo, Texas. Cecil Ross has been in the securities industry since 1993 and previously worked at Raymond James. While at Raymond James, Cecil Ross was engaged in the practice of selling Unit Investment Trusts. A Unit Investment Trust is a closed-end…

Former Raymond James Advisor, Stuart Nichols, Barred By FINRA After Failing To Comply With A FINRA Investigation Into Allegedly Excessive Trading

November 7, 2019

Stuart B. Nichols (CRD # 4932310) was a Financial Advisor at Raymond James in Birmingham, AL.  Stuart Nichols has been in the securities industry since 2005 and previously worked at Morgan Keegan and Sterne Agee. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2019, Stuart Nichols was barred…

The Wolper Law Firm Files Two More Arbitration Claims Against Raymond James On Behalf Of Customers Who Were Targets Of Former Financial Advisor, Steven Reznick’s, Speculative Investment Strategy

September 29, 2019

Steven Reznick a/k/a Steve Reznick (CRD # 1067199) was a Financial Advisor at Raymond James Financial Services in Tallahassee, FL.  Steven Reznick a/k/a Steve Reznick has been in the securities industry since 1982 and previously worked at PEBSCO Securities Corp.  Steven Reznick a/k/a Steve Reznick worked as part of a team with his partner, Jason…

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We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis