Soreide Law Group is investigating potential claims on behalf of investors who may have incurred losses through dealings with securities broker Andrew Raskin (CRD: 4701782, Palm Beach Gardens, Florida). Evidently, Andrew Raskin worked as a financial advisor and broker with Merrill Lynch from August 2, 2016, to December 13, 2022. He works for LPL Financial, LLC currently. Notably, UBS investors and Merrill Lynch investors raised various complaints about Raskin. Here's more.
A client of Merrill Lynch, Pierce, Fenner & Smith Incorporated filed FINRA Arbitration: 21-01457 about Andrew Raskin. The client claimed that Raskin provided unsuitable advice regarding a loan management account in February of 2020. Due to this advice, the client reportedly experienced damages. The case was ultimately settled by Merrill Lynch on October 15, 2021, with the client receiving $32,500 in damages. Andrew Raskin did not contribute to the settlement amount and denied any allegations of wrongdoing.
According to a complaint received on June 7, 2011, a client of UBS Financial Services Inc. disputed Andrew Raskin's sales practices. Specifically, the client alleged that Raskin represented a structured product investment as entirely principal-safe with no risk, from November 27, 2007, to June 7, 2011. The complaint led to a settlement on November 30, 2011, with the client receiving $63,249.30. Andrew Raskin did not contribute to the settlement.
A client complaint received on October 19, 2011, implicated Andrew Raskin, then with Chase Investment Services Corp., for alleged misrepresentation concerning a variable annuity investment. The client claimed damages of $17,000 due to these allegations. However, this complaint was ultimately denied, and no settlement amount was paid out.
A UBS Financial Services Inc. client filed a complaint on April 17, 2008, about Andrew Raskin concerning the sale of Auction Rate Securities (ARS). The complaint was related to the illiquidity in the ARS market that occurred in February 2008. Evidently, the matter was resolved in 2008, with a settlement amount of $400,000. This settlement was part of a global repurchase agreement entered into by UBS Financial Services Inc. with several regulatory bodies. Andrew Raskin did not contribute to the settlement amount.
Did you experience losses because of Andrew Raskin? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered funds for investors throughout the United States, works on a contingency fee basis, and advances all costs. Raskin and the brokerage firms he worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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