Bill Conn (CRD #: 1477107), a California broker registered with Raymond James & Associates, is involved in a dispute regarding unsuitable investments, according to his BrokerCheck record, accessed on December 8, 2020. This is the third disclosure on Mr. Conn’s record.
On September 29, 2020, a client alleged that Bill Conn mismanaged accounts and recommended unsuitable investments. The client is seeking $2,000,000; the dispute is pending.
On April 25, 2001, a client alleged that Bill Conn had been negligent and engaged in fraud as well as unauthorized trading. The client sought $236,000; the dispute settled for $40,000.
On December 26, 2000, a client alleged that Bill Conn had engaged in unauthorized trading. The client sought $286,251.09; the dispute was denied by the firm.
Bill Conn has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 3 National Commodity Futures Examination, and the Series 7 General Securities Representative Examination. Bill Conn is a registered broker in 39 states and a registered investment adviser in California and Texas.
Bill Conn has 34 years of experience. During his over three decades of experience, Mr. Conn has worked at the following firms:
- Raymond James & Associates (CRD #: 705)
- JP Morgan (CRD #: 79)
- Deutsche Bank Securities (CRD #: 2525)
- DB Alex Brown (CRD #: 17790)
- Saloman Smith Barney (CRD #: 7059)
- Painewebber Incorporated (CRD #: 8174)
- Gliksman Securities Corp (CRD #: 8225)
If Bill Conn was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.