Meredith Webber Charged By FINRA Following Investigation

One or more investors apparently complained about securities broker Meredith Archer Webber (also known as Meredith Luce) [CRD: 2435263, Cobleskill, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Meredith Webber worked for Raymond James Financial Services Inc. from September 16, 2022, to July 17, 2024. Below, you can find important information about the disclosures concerning Webber’s conduct in the securities industry.

FINRA Charged Webber With Failure To Cooperate

Specifically, on April 24, 2025, FINRA initiated Case No. 2024082788802 against Meredith Webber. FINRA alleges that Webber violated its rules by refusing to supply documents and information it requested and by failing to appear for testimony. These actions allegedly occurred during an investigation into whether Webber misappropriated funds from two elderly investors. Because of this, FINRA intends to impose disciplinary sanctions on Webber.

Investigation into Raymond James’ Form U5

According to FINRA’s complaint, the investigation stemmed from Webber’s termination from Raymond James Financial Services on July 17, 2024. The firm initially reported that Webber had been terminated for accepting a loan from a client without prior company approval. A subsequent amendment to her termination notice on August 14, 2024, stated that the firm was reviewing a potential misappropriation of client assets by Webber.

FINRA attempted to obtain documentation from Webber related to the alleged misconduct. This included communications, bank statements, and records involving her receipt of funds from an elderly client. FINRA sent document requests between September and November 2024 but allegedly received no cooperation.

In addition to not submitting documents, Webber supposedly failed to appear for scheduled testimony on multiple occasions. FINRA initially scheduled testimony for October 23, 2024, but Webber did not show up. After a series of communications, Webber agreed to testify on December 11, 2024. However, she supposedly later canceled and never proposed a new date, ultimately failing to appear again.

FINRA alleged that Weber violated FINRA Rules 8210 and 2010, which require brokers to cooperate with investigations and uphold professional standards. FINRA now seeks sanctions against Webber for obstructing its efforts to assess potential misconduct.

Webber Disclosed Misappropriation Allegations By Ameriprise Financial Services LLC Client

Additionally, a client of Ameriprise Financial Services LLC contested Meredith Webber’s sales practices, according to a complaint dated June 20, 2020. Allegedly, Webber misappropriating funds to a bank account where the client had no access. As a result, the client sought compensation from Ameriprise Financial Services LLC or Webber. However, this complaint was denied.

Did You Invest Through Financial Advisor / Securities Broker Meredith Webber?

Do you have concerns about investments you made through Meredith Webber? If so, contact Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States. The law firm also takes cases on a contingency fee basis and advances all costs. Webber and securities firms / investment advisories Webber worked for deny accusations of sales practice violations.