FINRA has suspended former Raymond James broker Jerry Rice from the securities industry for six months. Mr. Rice consented to the sanctions and to the entry of findings that he circumvented Raymond James’ procedures prohibiting, without the firm’s approval, representatives from receiving gifts from customers and being named as a…
FINRA has barred former Raymond James Financial Services, Inc. broker Jeffrey Travis Drost from the securities industry after he refused to provide information and documents requested by FINRA. If you have suffered investment losses with Jeffrey Travis Drost, or Raymond James, contact New York securities arbitration lawyers Iorio Altamirano LLP…
FINRA has suspended and fined former Raymond James Financial Services, Inc. broker David Van Geffen from the securities industry for 15 business days. Mr. Van Geffen consented to the sanctions and to the entry of findings that he impersonated a customer on telephone calls to an annuity company. His suspension is…