Raymond James Financial Services

There are Recent Customer Complaints with Broker Michael Fisette in Firm Raymond James Financial Services, Inc.

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fisette (Fisette), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fisette recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $48,345.84 on January 19, 2025.

The client alleged the advisor placed unauthorized trades. Allegation Activity Dates: 1/10/2024 – 1/19/2024.

Broker Travis Alexander in Raymond James Financial Services, Inc. Firm Has Customer Complaint

February 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Alexander (Alexander), previously associated with Raymond James Financial Services, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Alexander recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $282,434.75 on November 11, 2024.

Plaintiff alleges investing in a real estate investment based on FAs’ misrepresentations.

There are Recent Customer Complaints with Broker Garry Martin in Firm Raymond James Financial Services, Inc.

February 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garry Martin (Martin), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Martin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $191,000.00 on December 19, 2024.

The client alleged the advisor set up accounts incorrectly and disbursed funds to wrong account types causing a taxable event. Allegation Activity Date: 12/13/2024.

Broker Francesco Traina in Raymond James Financial Services, Inc. Firm Has Customer Complaint

February 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francesco Traina (Traina), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Traina recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $20,000,000.00 on January 13, 2025.

Plaintiff alleges in 2015, the FA opened an unauthorized account under the Plaintiff’s company name

There are Recent Customer Complaints with Broker Mario Payne in Firm Raymond James Financial Services, Inc.

February 15, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), previously employed by Raymond James Financial Services, Inc. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Payne’s most recent customer complaint alleges that Payne recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000,000.00 on January 15, 2025.

Claimants allege FA improperly engaged in a high-risk, illiquid, complex, and unsuitable investment strategy that concentrated them in structured products such as structured notes, and they also allege the products were misrepresented as safe, guaranteed, and insured.

There are Recent Customer Complaints with Broker Devere Dudley in Firm Raymond James Financial Services, Inc.

February 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devere Dudley (Dudley), previously associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Dudley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 26, 2023.

Respondent Dudley failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Francisco Marquez in Firm Raymond James Financial Services, Inc.

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Marquez (Marquez), previously associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Marquez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $26,524.75 on May 01, 2024.

The client alleged the advisor placed unauthorized trades.

There are Recent Customer Complaints with Broker Mario Payne in Firm Raymond James Financial Services, Inc.

February 5, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Mario Payne (Payne), previously employed by Raymond James Financial Services, Inc. has been subject to at least 4 disclosable events. These events include 4 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Payne’s most recent customer complaint alleges that Payne recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000,000.00 on January 07, 2025.

Claimants allege fa improperly engaged in a high-risk, illiquid, complex, and unsuitable investment strategy that concentrated them in structured products such as structured notes, and they also allege the products were misrepresented as safe, guaranteed, and insured.

There are Recent Customer Complaints with Broker William Cooke in Firm Raymond James Financial Services, Inc.

February 5, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Cooke (Cooke), previously associated with Raymond James Financial Services, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cooke concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $72,156.06 on December 16, 2024.

Complaint from the financial advisor’s spouse alleges he placed excessive trades, entered two unauthorized trades and signed her name on two documents to move the cash from her ira.

There are Recent Customer Complaints with Broker James Peterson in Firm Raymond James Financial Services, Inc.

February 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Peterson (Peterson), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Peterson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 27, 2024.

Client alleged the advisor misappropriated funds and accepted forged documents to establish accounts. Allegation activity dates: 4/26/2010 – 12/24/24.