Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that Florida-based Raymond James Financial Services broker/adviser Mitchell Silverman has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Silverman (CRD# 500504).
Mitchell Silverman has spent 42 years in the securities industry and has been registered with Raymond James & Associates in Boca Raton, Florida and Snowmass Village, Colorado since 2002. He was previously registered with JB Hanauer & Company in Parsippany, New Jersey (1976-2002). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 30, 1993; Series 31 (Futures Managed Funds Examination), which he obtained on February 1, 2005; Series 7 (General Securities Representative Examination), which he obtained on December 15, 1979; Series 1 (Registered Representative Examination), which he obtained on February 3, 1977; Series 53 (Municipal Securities Principal Examination), which he obtained on March 22, 1982; and Series 24 (General Securities Principal Examination), which he obtained on December 28, 1981. He is a registered broker and investment adviser with 37 US states and territories.
According to his BrokerCheck report, he has received four customer complaints.
In May 2018 a customer alleged Mitchell Silverman, while employed at Raymond James & Associates, breached his fiduciary duty, acted negligently, breached contract, committed fraud, and violated FINRA conduct rules. The complaint settled in July 2018 for $10,000.
In 2016 a customer alleged Mitchell Silverman, while employed at Raymond James & Associates, violated FINRA rules, acted negligently, misrepresented and omitted material facts, breached contract, breached his fiduciary duty, and violated Florida law. The complaint, in which he was not a named respondent, settled for $37,500.
In 1998 a customer alleged Mitchell Silverman, while employed at JB Hanauer & Company, failed to supervise the actions of a registered representative. The complaint settled for $60,000.
In 1995 a customer alleged he, while employed at JB Hanauer & Company, misrepresented and omitted material facts, churned investments, and failed in his supervisory duties. The complaint settled for $500,000.
If you or someone you know has complaints regarding Mitchell Silverman, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.