One or more investors potentially experienced sales practice violations due to securities broker John Larsen [CRD: 2700922, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Larsen worked with Raymond James & Associates Inc. from October 11, 2013, to May 24, 2021. He currently works with Raymond James Financial Services Inc. and Raymond James Financial Services Advisors Inc. as of May 24, 2021. Read on to learn more about the disclosures involving John Larsen and the nature of the allegations reported.
Notably, on March 21, 2025, a Raymond James Financial Services Inc. client filed a complaint about John Larsen. Mainly, the client alleged that Larsen engaged in unauthorized trading. Allegedly, the broker’s transactions were not consistent with the client’s stated risk tolerance. Because of this, the client allegedly sustained damages on stocks. Consequently, the client requested $3,000,000 in compensation from Raymond James Financial Services Inc. or Larsen.
Notably, on September 5, 2013, Edward Jones disaffiliated with Larsen. Mainly, Edward Jones alleged that Larsen received firm documents signed in blank and transferred funds without prior authorization. Edward Jones further alleged that Larsen violated firm policy by introducing clients to one another for a business venture.
Are you concerned regarding investments you made with John Larsen? If so, you should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery of your losses. Soreide Law Group has recovered losses for clients throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Larsen and brokerage firms Larsen worked for deny accusations of sales practice violations.
The private market, once the exclusive playground of institutional investors, has increasingly opened its doors to individual investors seeking a piece of the next unicorn. Funds like the Advanced Technology Select Funds - targeting high-profile private companies such as Flexport, Plaid, and Cybereason - are a prime example of this trend. While the prospect of […]
Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]
FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com