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Category: Raymond James

Former Financial Advisor Emily J. Smith Suspended by FINRA for Falsifying Documents

Emily Jean Smith (CRD#: 6287728) was a previously registered broker and investment advisor.   Broker’s Background She entered the securities industry in 2014 and previously worked with Morgan Stanley, and Raymond James Financial Services, Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March of […]

Financial Advisor Jermaine Benjamin Accused Of Theft From A Client Account

Jermaine Benjamin (CRD#: 6152653) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2013 and previously worked for Raymond James Financial Services, Inc.; and Pruco Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Guilford Nergard (San Blas Securities, LLC) Customer Complaints

Guilford Nergard (CRD#: 2360614) is a registered Investment Advisor and previously registered Broker.   Broker’s Background   He entered the securities industry in 1993 and previously worked for San Blas Securities, LLC; Newbridge Securities Corporation; Raymond James & Associates, Inc.; Morgan Stanley; Citigroup Global Markets, Inc.; and Lehman Brothers, Inc.   Current And Past Allegations […]

Financial Advisor Alberto Valdes (Citigroup Global Markets) Customer Complaints

Alberto Valdes (CRD # 4378138) is a Financial Advisor at Citigroup Global Markets in Miami, FL. Eric Garcia has been in the securities industry since 2002 and has worked at Northwestern Mutual, Banc of America Investment Services, Chase Investment Services, Corp., Wells Fargo Advisors and Raymond James Financial Services. According to publicly available records released […]

Financial Advisor Jeffrey Drost (Raymond James Financial Services, Inc.) Customer Complaints

Jeffrey Drost (CRD#: 4489021) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2002 and previously worked for Raymond James Financial Services, Inc.; Ameriprise Financial Services, Inc.; Investment Professionals, Inc.; The Lincoln National Life Insurance Company; and Lincoln Financial Advisors Corporation. According to publicly available records released by […]

Financial Advisor Ricardo Armijo (Raymond James Financial Services, Inc.) Customer Complaints

Ricardo Armijo (CRD#: 2694904) is a dually registered Investment Advisor and Broker at Raymond James & Associates, Inc., in Birmingham, MI. He entered the securities industry in 1996 and previously worked for UBS Financial Services, Inc., and Citigroup Global Markets, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Financial Advisor Paul Stetter (Raymond James Financial Services, Inc.) Customer Complaints

Paul Stetter (CRD #4513517) is a Financial Advisor at Raymond James Financial Services in Ephrata, Pennsylvania. Paul Stetter has been in the securities industry since 2002 and previously worked at Primevest Financial Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2019, Paul Stetter has been the subject of […]

Financial Advisor Joseph Woitkoski (Raymond James Financial Services, Inc.) Customer Complaints

Joseph Woitkoski (CRD #4172477) was a Financial Advisor at Raymond James & Associates, Inc. in Pitsfiled, MA, Merrill Lynch, Pierce, Fenner & Smith Incorporated in Albany, NY and UBS Financial Services Inc. in Weehawken, NJ. Joseph Woitkoski was in the securities industry from 1998 to 2018. According to publicly available records released by the Financial […]