Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former New York-based Raymond James Financial Services broker/adviser John MacGowan was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. MacGowan (CRD# 315901).
John MacGowan has spent 40 years in the securities industry and was most recently registered with Raymond James Financial Services in New York, New York (1999-2017). Previous registrations include Robert Thomas Securities in St. Petersburg, Florida (1990-1999); AG Edwards & Sons (1983-1986); Philips Appel & Walden (1983); Fittin Cunningham & Lauzon (1975-1983); and Merrill Lynch (1972-1975). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 16, 1990; Series 7 (General Securities Representative Examination), which he obtained on October 5, 1990; and Series 1 (Registered Representative Examination), which he obtained on July 12, 1972. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints and was recently discharged from his former employer in connection to alleged misconduct.
In October 2017 he was terminated from his position at Raymond James Financial Services following allegations he failed to comply with firm directives concerning the marking of order tickets.
In 2016 a customer alleged John MacGowan, while employed at Raymond James Financial Services, failed in his supervisory duties, made unsuitable investment recommendations, and breached his fiduciary duty in connection to investments in common and preferred stock products and mutual funds. The complaint resulted in an award to the customer of $29,884.
In 1986 a customer alleged John MacGowan, while employed at Merrill Lynch, participated in unspecified misconduct. The complaint reached an unspecified settlement.
If you have lost money investing with John MacGowan, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means 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.