Investors have reportedly disputed the sales practices of securities broker Robert Lee Anderson III [CRD: 2355813, Hiawassee, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Anderson has been registered with Raymond James Financial Services Inc. since January 4, 1999, and with Raymond James Financial Services Advisors Inc. since January 2, 2009. See below for details about Anderson’s disclosures.
Notably, a Raymond James Financial Services Inc. client filed FINRA Arbitration No. 23-01748 about Robert Anderson. Mainly, the client alleged that Anderson made unsuitable recommendations, poorly managed trust investments, and charged excessive fees. For this reason, the client allegedly incurred damages. Consequently, on April 22, 2024, Raymond James Financial Services Inc. settled this matter by paying the client $150,000 in damages.
Evidently, a client of Raymond James Financial Services Inc. disputed Anderson’s sales practices by filing FINRA Arbitration No. 17-02054. Allegedly, Anderson was negligent, negligently supervised certain representatives, and breached his fiduciary duty. It appears that Anderson allegedly caused the client to sustain damages relating to stocks. Therefore, Raymond James Financial Services Inc. opted to settle the matter on August 25, 2017 by compensating the client in the amount of $14,999.
Also, a client of Raymond James Financial Services Inc. contested Anderson’s sales practices by filing NASD Arbitration No. 07-01365. Allegedly, Anderson was negligent, made unsuitable recommendations, breached his fiduciary duty, breached a contract, and failed to supervise certain representatives. It appears that Anderson allegedly caused the investor to sustain damages connected to options. As a result, Raymond James Financial Services Inc. opted to settle the matter on May 7, 2007 by compensating the client in the amount of $150,000.
Did you experience losses because of Robert Anderson? If so, reach out to Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Anderson and brokerage firms Anderson worked for deny allegations of sales practice violations.
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