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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 learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

LATEST NEWS AND ARTICLES

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.

1782226532 Law
June 23, 2026
NASAA Advances Investment Adviser Advertising Reforms and Franchise Broker Registration Framework

The North American Securities Administrators Association (NASAA) has approved significant regulatory initiatives aimed at modernizing oversight of investment advisers and strengthening protections for individuals considering franchise investments.

1782150000 Law
June 22, 2026
Illinois Regulators Accuse "Mr. Finance" of Operating Unlicensed Investment Scheme

Illinois securities regulators have accused a Chicago-area businessman known as "Mr.