According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Esteves-dixon (Esteves-dixon), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Esteves-dixon recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Swift (Swift), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Swift recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Dunn (Dunn), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dunn recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Comans (Comans), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Comans recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Crossen (Crossen), previously associated with Raymond James & Associates, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Crossen recommended unsuitable investments in different investment products including debt securities among…
Currently financial advisor Peter Barry (Barry), currently employed by brokerage firm Raymond James & Associates, Inc. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eva Ovejero (Ovejero), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ovejero recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Mclendon (Mclendon), previously associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one tax lien, alleging that Mclendon recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Magruder (Magruder), previously associated with Raymond James & Associates, Inc., has at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory, alleging that Magruder recommended unsuitable investments in different investment products including debt…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Hart (Hart), currently associated with Raymond James & Associates, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hart concern allegations of high frequency…
