Articles Tagged with Raymond James Financial

Gregory PerronePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 25, 2017 indicate that Florida-based Raymond James Financial Services broker/adviser Gregory Perrone has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Perrone (CRD# 3085935).

Gregory Perrone has spent 17 years in the securities industry and has been registered with Raymond James Financial Services in Hernando, Florida since 1999. He has no previous registrations. He has passed five 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); Series 10 (General Securities Sales Supervisor – General Module Examination); and Series 9 (General Securities Sales Supervisor – Options Module Examination). He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Connecticut, Delaware, Florida, Georgia, Iowa, Louisiana, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Virginia, and Wisconsin.

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

John WheelerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that former Florida-based Raymond James Financial Services broker/adviser John Wheeler has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wheeler (CRD# 1068503).

John Wheeler has spent 32 years in the securities industry and was most recently registered with Raymond James Financial Services in Clearwater, Florida (1988-2015). Previous registrations include American Express Financial Advisors and IDS Financial Services. He is currently not registered with any state or firm.

According to his BrokerCheck report, John Wheeler has been sanctioned by FINRA and was discharged from his former employer.

Charles BradenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 5, 2017 indicate that former Illinois-based Raymond James Financial Services broker/adviser Charles Braden II has been the subject of a customer dispute and is currently not affiliated with any FINRA broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Braden (CRD# 1089316).

Charles Braden has spent 34 years in the securities industry and was most recently registered with Raymond James Financial Services in Carmi, Illinois. Previous registrations include LPL Financial in Carmi, Illinois; Invest Financial Corporation in Carmi, Illinois; AG Edwards & Sons in Evansville, Illinois; and JJB Hilliard WL Lyons in Louisville, Kentucky. He is currently not registered with any state or firm.

According to his BrokerCheck report, Charles Braden II has received one customer complaint and one regulatory sanction, and resigned from one former employer.

Ronald RothchildPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 23, 2017 indicate that former New York-based Raymond James Financial Services broker Ronald Rothchild has been named in 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. Rothchild (CRD# 4491932).

Ronald Rothchild has spent fourteen years in the securities industry and was most recently registered with Raymond James Financial Services in Garden City, New York (2011-2016). Previous registrations include Wells Fargo Advisors in Great Neck, New York and David Lerner Associates in Syosset, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent 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, Ronald Rothchild has received one customer complaint, one pending customer complaint, and was discharged from his former employer.

Judith EbsaryPublic records published by the Financial Industry Regulatory Authority (FINRA) on October 22, 2016 indicate that former Massachusetts-based Raymond James Financial Services broker Judith Ebsary is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Ebsary (CRD# 3011368).

Judith Ebsary has spent seventeen years in the securities industry and was most recently registered with Raymond James Financial Services in Franklin, Massachusetts (2015-2016). Previous registrations include Merrill Lynch in Westborough, Massachusetts; Morgan Stanley & Company in Hyannis, Massachusetts; Morgan Stanley DW in Hyannis, Massachusetts; AdVest in Hartford, Connecticut; and Salomon Smith Barney in New York, New York. She is currently not registered with any state or firm.

According to her BrokerCheck report, Judith Ebsary has received one customer complaint and one FINRA sanction.