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Articles Tagged with Raymond James

Fred Stow (CRD#: 864436), formerly a registered representative with Raymond James & Associates in Nashville, Tennessee, is involved in a pending dispute in which a customer is alleging that he stole client funds, according to his BrokerCheck record accessed on August 9, 2019. The customer is alleging “breach of fiduciary duty, conversion, unjust enrichment, tortious […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that former Tennessee-based Raymond James broker Wonnie Short has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested […]

Based on publicly-available records published by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, Florida-based Raymond James & Associates broker/adviser Loren Lucas is the subject of several disclosures. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lucas (CRD# 1203511). Loren Lucas […]

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