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Investigation: Complaints Against Mark E. Rauguth, Formerly of Raymond James Financial Services, Inc.

mark e. rauguth

Fitapelli Kurta is investigating complaints against Raymond James Financial Services, Inc. and its former representative Mark E. Rauguth related to fraudulent activity which may have occurred in Mark E. Rauguth’s customer’s accounts.

Mark Rauguth has been in the securities industry for 27 years and was previously registered at American Express Financial Advisors (1986-1997).

Mark Rauguth, the former Raymond James Financial Services, Inc. broker, was recently sanctioned by FINRA for improperly utilizing Raymond James Financial Services’s signature guarantee stamp on 34 occasions.  In one of those instances, Mr. Rauguth utilized the stamp on a letter of authorization even though he did not witness the requesting party’s signature or verify their identity.  Mr. Rauguth is no longer associated with Raymond James and was fined $5,000 by FINRA for this violation. A copy of the AWC can be found here.

If you or someone you know has lost money investing with Mark Rauguth, or Raymond James Financial, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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