• Vonna Kay Husby, Formerly of Raymond James Financial Services, Barred by FINRA Over Failure to Cooperate with Investigation
• Joseph Woitkoski, Formerly of Raymond James Financial Services, Suspended by FINRA Following Allegations of Exercising Discretion in Clients’ Accounts
• Mark Boucher, Formerly of Raymond James Financial Services, Charged by SEC with Fraud
• Broker Investigation: George Puliafico