ANCE ROMAN ARMSTRONG CRD#: 4592423 was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on November 12, 2019. LANCE ROMAN ARMSTRONG, a former Raymond James Financial Services, Inc. broker from Columbia, New Jersey, without admitting or denying the findings, according to FINRA, consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA in connection with FINRA’s investigation of his alleged activities.
FINRA’s findings stated that Armstrong’s member firm filed a Form U5, disclosing that it had discharged him after he allegedly solicited and accepted multiple loans from clients in connection with an undisclosed outside business activity.
LANCE ROMAN ARMSTRONG, according to FINRA’s BrokerCheck, has two Disclosures on his CRD report. One of the Disclosures is a “Regulatory” listing his FINRA bar, and the other is an “Employment Separation After Allegations,” which Armstrong was discharged on February 8, 2019, from Raymond James Financial Services, Inc., following allegations that the, “Financial Advisor terminated after he solicited and accepted multiple loans from customers in connection with an undisclosed outside business activity.”
LANCE ROMAN ARMSTRONG was in the securities industry for sixteen years and before he was barred by FINRA, had been listed with three firms, the most recent firm is listed below:
04/20/2007 – 02/11/2019 Raymond James Financial Services,Inc – Columbia, NJ
If you or a loved one experienced financial losses due to the actions or recommendations of the former Raymond James Financial Services, Inc. of Columbia, New Jersey, LANCE ROMAN ARMSTRONG, contact Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA on a contingency fee basis—no fee to you if no recovery.