Articles Tagged with Raymond James & Associates

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Henry GrinbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Florida-based Raymond James & Associates broker/adviser Henry Grinberg recently resigned from his former employer in connection to alleged rule violations and has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Grinberg (CRD# 4605039).

Henry Grinberg has spent 15 years in the securities industry and has been registered with Raymond James & Associates in Aventura, Florida since June 2018. Previous registrations include Morgan Stanley in Aventura, Florida (2009-2018); Citigroup Global Markets in Aventura, Florida (2009); and UBS Financial Services in Aventura, Florida (2003-2009). He has passed three securities industry examination: Series 66 (Uniform Combined State Law Examination), which he obtained on February 6, 2003; Series 31 (Futures Managed Funds Examination), which he obtained on June 19, 2004; and Series 7 (General Securities Representative Examination), which he obtained on January 14, 2003. He is a registered broker and investment adviser with ten US states: California, Connecticut, Florida, Illinois, New Jersey, New York, North Carolina, Oregon, Pennsylvania, and Texas. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints, and he recently resigned from his former employer in connection to alleged rule violations.

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Barry WoldPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 26, 2018 indicate that former Minnesota-based Raymond James & Associates broker/adviser Barry Wold was recently terminated 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 hearing from investors who have complaints regarding Mr. Wold (CRD# 2095296).

Barry Wold has spent 27 years in the securities industry and was most recently registered with Raymond James & Associates in Edina, Minnesota (2009-2018). Previous registrations include Robert W. Baird & Company in Edina, Minnesota (1998-2009) and Piper Jaffray in Minneapolis, Minnesota (1990-1998). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 2, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 25, 1990; and Series 7 (General Securities Representative Examination), which he obtained on October 16, 1990. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations.

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George MathisPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that Florida-based Raymond James & Associates broker/adviser George Mathis has been involved in several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mathis (CRD# 4271854).

George Mathis has spent 17 years in the securities industry and has been registered with Raymond James & Associates in The Villages, Florida since 2011. Previous registrations include Wells Fargo Advisors in The Villages, Florida (2008-2011) and AG Edwards & Sons in The Villages, Florida (2000-2008). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 6, 2000, and Series 7 (General Securities Representative Examination), which he obtained on November 8, 2000. He is a registered broker and investment adviser with 26 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint, and he was discharged from one of his former employers in connection to alleged rule violations.

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Richard CaccamisePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 12, 2018 indicate that Florida-based Raymond James & Associates broker/adviser Richard Caccamise has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caccamise (CRD# 2203585).

Richard Caccamise has spent 25 years in the securities industry and has been registered with Raymond James & Associates in Aventura and Fort Lauderdale, Florida since 1998. Previous registrations include Prudential Securities in New York, New York (1994-1998); Duke & Company in New York, New York (1993-1994); and Prudential Securities in New York, New York (1992-1993). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 11, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 10, 1993; Series 31 (Futures Managed Funds Examination), which he obtained on September 10, 2007; Series 7 (General Securities Representative Examination), which he obtained on December 15, 1992; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 16, 2005; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on September 9, 2005; and Series 24 (General Securities Principal Examination), which he obtained on September 28, 1993. He is registered with 47 US states and territories and with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Ruben Frezzotti

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 12, 2018 indicate that Florida-based Raymond James & Associates broker Ruben Frezzotti has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Frezzotti (CRD# 4439983).

Ruben Frezzotti has spent 15 years in the securities industry and has been registered with Raymond James & Associates in Coral Gables, Florida since 2013. Previous registrations include Morgan Keegan & Company in Coral Gables, Florida (2004-2013); PFIC Securities Corporation in Franklin, Tennessee (2003-2004); and Salomon Smith Barney in New York, New York (2001). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 13, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 22, 2005; Series 31 (Futures Managed Funds Examination), which he obtained on October 5, 2006; and Series 7 (General Securities Representative Examination), which he obtained on September 11, 2001. . He is a registered broker and investment adviser with five US states and territories: Alabama, California, Florida, New York, and Puerto Rico. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and three customer complaints that were closed or denied.

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Jonathan MelgesPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 20, 2018 indicate that Michigan-based Raymond James & Associates broker/adviser Jonathan Melges has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Melges (CRD# 4595003).

Jonathan Melges has spent 15 years in the securities industry and has been registered with Raymond James & Associates in Battle Creek, Michigan since 2012. He was previously registered with JJB Hilliard WL Lyons in Battle Creek, Michigan (2002-2012). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 20, 2002; Series 7 (General Securities Representative Examination), which he obtained on December 2, 2002; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on February 26, 2013; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on December 17, 2012. He is a registered broker and investment adviser with 29 US states and territories.

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

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Ryan Wold

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 22, 2018 indicate that former Minnesota-based Raymond James & Associates broker/adviser Ryan Wold was discharged from his former employer in connection to alleged rule violations and is currently unaffiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wold (CRD# 2702213).

Ryan Wold has spent 21 years in the securities industry and was most recently registered with Raymond James & Associates in Edina, Minnesota (2009-2018). Previous registrations include Robert W. Baird & Company in Edina, Minnesota (1998-2009) and Piper Jaffray in Minneapolis, Minnesota (1996-1998). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 16, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 4, 1996; Series 7 (General Securities Representative Examination), which he obtained on February 26, 1996; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on December 28, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on December 4, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations.

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Barry RichterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 22, 2018 indicate that Pennsylvania-based Raymond James & Associates broker/adviser Barry Richter has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Richter (CRD# 1387197).

Barry Richter has spent 32 years in the securities industry and has been registered with Raymond James & Associates in Devon, Pennsylvania since 2008. Previous registrations include Morgan Stanley & Company in Wayne, Pennsylvania (2007-2008); Morgan Stanley DW in Wayne, Pennsylvania (2002-2007); UBS Painewebber in Weehawken, New Jersey (1987-2002); and Halpert Oberst & Company (1985-1987). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 2, 1985, and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1985. He is a registered broker and investment adviser with 16 US states and territories: Connecticut, Delaware, Florida, Maryland, Michigan, Missouri, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Tennessee, Virginia, Washington and West Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Kathleen Hobart

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 30, 2018 indicate that Washington-based Raymond James & Associates broker/adviser Kathleen Hobart has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hobart (CRD# 1562513).

Kathleen Hobart has spent 30 years in the securities industry and has been registered with Raymond James & Associates in Seattle, Washington since May 2017. Previous registrations include Morgan Stanley in Bellevue, Washington (2009-2017); Citigroup Global Markets in Bellevue, Washington (2009); UBS Financial Services in Seattle, Washington (1999-2009); and Dean Witter Reynolds in Purchase, New York (1987-1999). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on January 10, 1994; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 7, 1987; Series 3 (National Commodity Futures Examination), which she obtained on September 10, 1993; Series 7 (General Securities Representative Examination), which she obtained on November 21, 1987; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which she obtained on January 7, 1993. She is a registered broker and investment adviser with 23 US states and territories: Alaska, Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Maryland, Massachusetts, Michigan, Mississippi, Montana, Nevada, New Mexico, New York, Ohio, Oregon, Texas, Utah, Virginia and Washington. She is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint, and two denied customer complaints.

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Thomas O’Brien Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 21, 2017 indicate that Louisiana-based Raymond James & Associates broker/adviser Thomas O’Brien has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Brien (CRD# 2282208).

Thomas O’Brien has spent 2 years in the securities industry and has been registered with Raymond James & Associates in Shreveport, Louisiana since 2013. He was previously registered with Morgan Keegan & Company in Shreveport, Louisiana (1992-2013). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 25, 1992; Series 31 (Futures Managed Funds Examination), which he obtained on October 7, 2011; Series 7 (General Securities Representative Examination), which he obtained on November 5, 1992; Series 24 (General Securities Principal Examination), which he obtained on June 19, 2007; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 30, 2007; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 1, 2007. He is a registered broker and investment adviser with 42 US states and territories and with five self-regulatory organizations (SROs): FINRA, NSYE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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