Investors have reportedly disputed the sales practices of securities broker Michael J. Francisco [CRD: 5095879, Mount Laurel, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Francisco has worked for Raymond James Associates Inc. as a broker since January 27, 2017, and as an investment adviser representative since February 2, 2017. Investors should continue reviewing the information below to find out more about disclosures involving Francisco’s sales practices.
Particularly, on May 25, 2025, a Raymond James Associates Inc. client filed a complaint about Michael Francisco. Primarily, the client alleged that Francisco was negligent in connection with presenting an opportunity to invest in a private placement. For this reason, the client allegedly experienced damages related to private placements. Consequently, the client requested compensation from Raymond James Associates Inc. or Francisco. The complaint remains pending.
Notably, a client of Morgan Stanley Smith Barney contested Francisco’s sales practices by filing FINRA Arbitration No. 10-04251. Allegedly, Francisco failed to follow instructions in connection with the sale of stocks. It appears that Francisco allegedly caused the client to sustain damages related to stocks. Therefore, Morgan Stanley Smith Barney opted to settle the matter on April 25, 2011, by paying the client $16,000.
Did you suffer any investment-related losses because of Michael Francisco? If so, reach out to Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Francisco and brokerage firms Francisco worked for deny accusations of sales practice violations.
Investors have reportedly disputed the sales practices of securities broker Mark James Bloom [CRD: 6933619, Atlanta, Georgia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Bloom worked for Avantax Investment Services Inc. and Avantax Advisory Services from March 26, 2021, to September 5, 2025, and later registered with Cetera Wealth […]
Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, […]
Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information […]
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