Posts Tagged ‘FINRA Rule 2010’
Jeffrey Carter of Raymond James Involved in Customer Dispute
Jeffrey Carter (CRD #: 2902588), a broker registered with Raymond James Financial Services, Inc., is involved in an investor complaint regarding unauthorized trades, according to his BrokerCheck record, accessed September 21, 2020. On July 31, 2020, a client alleged that Mr. Carter executed unauthorized trades, which violates FINRA Rule 2010. The client is seeking $225,079.65;…
Read MoreGregory Collier, of Raymond James Financial Services, Involved in $500,000 Customer Dispute
Gregory Collier (CRD#: 1408843), a registered representative with Raymond James Financial Services, Inc. (CRD#: 6694) in Mt. Dora, Florida, is currently involved in a $500,000 customer dispute, according to his BrokerCheck record accessed on March 3, 2020. What happened to lead to this customer dispute? A client alleged that Gregory Collier made unauthorized trades in…
Read More