Investors have reportedly disputed the sales practices of securities broker Jose Abel Gamez (also known as Joe Gamez) [CRD: 4292479, San Antonio, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jose Gamez worked for Raymond James Financial Services Inc. from April 3, 2017, to July 7, 2025. See the following summary for details about the disclosures involving Gamez.
Specifically, a client filed a complaint about Jose Gamez. Primarily, the client alleged that Gamez misappropriated funds. Because of this, the client allegedly sustained damages related to no specific product. Therefore, on October 1, 2025, Raymond James Financial Services Inc. settled this matter by paying the client $413,370.18 in damages.
Notably, Raymond James Financial Services Inc. disaffiliated with Gamez on June 25, 2025. Allegedly, Gamez used client funds for personal purposes.
Do you have concerns or questions regarding investments you made with Jose Gamez? You can contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Gamez and brokerage firms Gamez worked for deny allegations of sales practice violations.
FINRA fined securities broker Brenton Edward Ditto [CRD: 4779103, Elizabethtown, Kentucky], and an investor complained about him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ditto worked for LPL Financial LLC from October 30, 2014, to August 28, 2025. See the following information to find out more about Ditto’s disclosures and […]
Investors potentially experienced sales practice violations due to securities broker David Charles Heide (also known as Dave Heide) [CRD: 2112032, Palos Heights, Illinois], according to publicly available information on FINRA BrokerCheck. Evidently, David Heide has been registered with RBC Capital Markets LLC since November 1, 2016, where he works as both a broker and investment […]
PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was registered with KINGSWOOD CAPITAL PARTNERS LLC of Roseville, California, from 06/15/2018 - 06/30/2023. According to the FINRA report, on 5/13/2025, PHILLIP C ANDERSON was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and suspended in all capacities for five months by the Financial Industry Regulatory Authority (FINRA). Without […]
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