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Tagged with "raymond james"

FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

Posted on June 11th, 2026 at 12:23 PM
FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) sanctioned Paul D.

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Former Raymond James Advisor Barred by FINRA Over Misappropriation Probe

Posted on August 28th, 2025 at 2:00 PM
Former Raymond James Advisor Barred by FINRA Over Misappropriation Probe

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Raymond James financial advisor Meredith Archer Webber after she failed to comply with repeated requests for documents and testimony during an investigation into the possible misappropriation of funds from two elderly clients, according to ThinkAdvisor.

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TESTIMONIALS

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I want to extend a tremendous thank you for your dedication, professionalism, hard work and patient demeanor through this challenging time. It was enjoyable interacting with everyone on your team, this certainly helped while dealing with the situation and working towards resolution.

Dan M.

LATEST NEWS AND ARTICLES

1782497406 Law
June 26, 2026
FINRA Seeks to Make Remote Inspection Program Permanent

The Financial Industry Regulatory Authority (FINRA) is seeking approval from the Securities and Exchange Commission (SEC) to make its pandemic-era remote inspections program permanent before the current pilot is scheduled to expire in June 2027, according to AdvisorHub and FINRA's summary of its recent Board of Governors meeting.

1782400213 Law
June 25, 2026
SEC Alleges Illinois Investment Adviser Misappropriated Investor Funds and Concealed Losses

According to a litigation release published on SEC.gov, the Securities and Exchange Commission (SEC) has charged John Sterling Myers and his firms, Sterling Capital, LLC and Sterling Capital Management, LLC, with orchestrating a multi-year fraud involving investor funds held in a pooled investment vehicle.

1782320106 Law
June 24, 2026
FINRA Suspends Former Broker Over Undisclosed Business Activities, Annuity Recommendation, and Customer Data Violations

The Financial Industry Regulatory Authority (FINRA) has suspended former registered representative Clayton K.