Articles Tagged with Raymond James & Associates

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William KonchalPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Michigan-based Raymond James & Associates broker/adviser William Konchal has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konchal (CRD# 1092372).

William Konchal has spent 34 years in the securities industry and has been registered with Raymond James & Associates in Dearborn, Michigan since 2004. Previous registrations include JJB Hilliard WL Lyons in Louisville, Kentucky (1998-2004); Fifth Third/The Ohio Company in Cincinnati, Ohio (1992-1998); Lehman Brothers in New York, New York (1988-1992); EF Hutton & Company (1984-1988); and Fahnestock & Company (1983-1984). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 16 US states and territories: California, Colorado, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Oregon, South Carolina, Tennessee, and Virginia.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

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John Alexander

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 4, 2017 indicate that Georgia-based Raymond James & Associates broker/adviser John Alexander has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Alexander (CRD# 4751186).

John Alexander has spent 13 years in the securities industry and has been registered with Raymond James & Associates in Athens, Georgia since 2013. He was previously registered with Morgan Keegan & Company in Athens, Georgia (2004-2013). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 23 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Massachusetts, Nevada, New Jersey, North Carolina, Ohio, Oklahoma, Oregon, Puerto Rico, South Carolina, Tennessee, Texas, Virginia and Washington.

According to his BrokerCheck report, he has received one pending customer complaint.

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Jerry Devins

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 31, 2017 indicate that former Kentucky-based Raymond James & Associates broker/adviser Jerry Devins has received customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Devins (CRD# 864443).

Jerry Devins has spent 38 years in the securities industry and was most recently registered with Raymond James Financial Services in Louisville, Kentucky (2014-2017). Previous registrations include Raymond James & Associates in Louisville, Kentucky; Morgan Keegan & Company in Louisville, Kentucky; UBS Painewebber in Weehawken, New Jersey; JC Bradford & Company in New York, New York; Linsco/Private Ledger Corporation in Boston, Massachusetts; AdVest in Hartford, Connecticut; Prudential-Bache Securities; Merrill Lynch; and Paine Webber Jackson & Curtis. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 3 (National Commodity Futures Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three customer complaints.

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James LyonsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 25, 2017 indicate that former Louisiana-based Raymond James & Associates broker/adviser James Lyons has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lyons (CRD# 1020397).Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 25, 2017 indicate that former Louisiana-based Raymond James & Associates broker/adviser James Lyons has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lyons (CRD# 1020397).

James Lyons has spent 34 years in the securities industry and was most recently registered with Raymond James & Associates in Shreveport, Louisiana (2013-2017). Previous registrations include Morgan Keegan & Company in Shreveport, Louisiana (1993-2013) and Capitol Securities Group (1983-1993). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 52 (Municipal Securities Representative Examination).

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint, and was discharged from his former employer.

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Adam FrankfortPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 25, 2017 indicate that New York-based Raymond James & Associates broker Adam Frankfort has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Frankfort (CRD# 1293630).

Adam Frankfort has spent 32 years in the securities industry and has been registered with Raymond James & Associates in New York, New York since September 2016. Previous registrations include Deutsche Bank Securities in New York, New York; RBC Capital Markets Corporation in Florham Park, New Jersey; CE Unterberg Towbin in New York, New York; Everen Securities in St. Louis, Missouri; Bear Stearns & Company in New York, New York; Painewebber in Weehawken, New Jersey; Rooney Pace; Laidlaw Adams & Peck; and Cralin & Company. He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 3 (National Commodity Futures Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]).

According to his BrokerCheck report, Adam Frankfort has received one pending customer complaint.

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Keith YoderPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2017 indicate that Illinois-based Raymond James & Associates broker/adviser Keith Yoder has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Yoder (CRD# 2231648).

Keith Yoder has spent 19 years in the securities industry and has been registered with Raymond James & Associates in Peoria, Illinois since 2011. Previous registrations include Robert W. Baird & Company in Peoria, Illinois; Caterpillar Securities in Peoria, Illinois; and ProEquities in Birmingham, Alabama. He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); Series 31 (Futures Managed Funds Examination); Series 7 (General Securities Representative Examination); and Series 2 (Non-Member General Securities Examination). He is a registered broker and investment adviser with 25 US states and territories.

According to his BrokerCheck report, Keith Yoder has received one pending customer complaint.

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Jeb BonnerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that former Alabama-based Raymond James & Associates broker/adviser Jeb Bonner was recently 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. Bonner (CRD# 4226193).

Jeb Bonner has spent 16 years in the securities industry and was most recently registered with Raymond James & Associates in Tuscaloosa, Alabama (2013-2017). Previous registrations include Morgan Keegan & Company in Tuscaloosa, Alabama; American Express Financial Advisors in Minneapolis, Minnesota; and IDS Life Insurance Company in Minneapolis, Minnesota. He has passed two securities industry examinations; Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Jeb Bonner was terminated from his former employed in connection to alleged rule violations and has received one customer complaint.

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Grant JaaxPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Georgia-based Raymond James & Associates broker/adviser Grant Jaax has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jaax (CRD# 5163580).

Grant Jaax has spent nine years in the securities industry and was most recently registered with Raymond James & Associates in Atlanta, Georgia (2016-2017). Previous registrations include Morgan Stanley in Atlanta, Georgia and Morgan Stanley & Company in Atlanta, Georgia. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Grant Jaax has received one customer complaint and was terminated from a former employer.

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Dennis LabbePublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 5, 2017 indicate that former Florida-based Raymond James & Associates broker/adviser Dennis Labbe has been the subject of customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Labbe (CRD# 300036).

Dennis Labbe has spent 42 years in the securities industry and was most recently registered with Raymond James & Associates in Ft. Myers, Florida (1988-2016). Previous registrations include AdVest; Prescott Ball & Turben; Bache Halsey Stuart Shields; Bache Halsey Stuart; and Bache & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three customer complaints.

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Raymond James & AssociatesPublic records published by the Financial Industry Regulatory Authority (FINRA) on February 16, 2017 indicate that Vermont-based Raymond James & Associates broker/adviser Richard Kowalski has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kowalski (CRD# 1558602).

Richard Kowalski has spent twenty-nine years in the securities industry and has been registered with Morgan Stanley in Burlington, Vermont since November 2016. Previous registrations include Merrill Lynch in Burlington, Vermont (1989-2016); Shearson Lehman Hutton in New York, New York (1988-1989); and EF Hutton & Company (1987-1988). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 27 US states and territories.

According to his BrokerCheck report, Richard Kowalski has received one customer complaint.