Vincent Joseph Storms (CRD#: 4969537) is a former financial advisor and compliance associate of Raymond James & Associates. From November 2015 to April 2017, he[...]
Raymond James
The American diversified holding company Raymond James Financial offers a wide variety of financial services to individuals, corporations, and municipalities. These services are offered through subsidiaries and typically include financial planning, investment, investment banking, and asset management. Like many financial services companies, Raymond James has been involved in several lawsuits encompassing fraud and misconduct. For information about these individual cases, browse the articles below.
Ronald Rothchild (CRD#: 4491932) is a registered broker and investment advisor. Since August of 2017, Mr. Rothchild has been employed at National Securities Corporation in[...]
The Sonn Law Group has substantial experience representing investors who have suffered losses as a result of stockbroker fraud. Call us today for a free[...]
At Sonn Law Group, our top-rated investment fraud attorneys are currently investigating investor complaints against Raymond James Financial Services (CRD#: 6694), a large national brokerage[...]
Sonn Law Group is investigating claims related to former broker Gregory Edward Barr (CRD#1312703). Barr was most recently associated with Raymond James and Associates (“Raymond[...]
Sonn Law Group is investigating claims related to former broker Claus Christoph Foerster (CRD#1912949). Foerster was most recently associated with Raymond James & Associates, Inc.[...]
Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined[...]
Theodore Edward Williams Jr. (CRD #468315, Registered Representative, Lake Forest, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000[...]
Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and[...]