Investors apparently complained about securities broker Rogers Kenneth Haydon III [CRD: 4452565, Atlanta, Georgia], according to disclosures on FINRA BrokerCheck. Evidently, Haydon worked for Raymond James & Associates Inc. from February 13, 2013, to September 4, 2025. Keep reading to find out more about the disclosures involving this individual.
Particularly, on August 28, 2025, Raymond James & Associates Inc. disaffiliated with Haydon. Raymond James & Associates Inc. claimed that Haydon acted in ways that violated the firm’s rules regarding communications, promotional materials, outside business ventures, private securities transactions, and selling away.
Additionally, a client of Morgan Keegan & Company Inc. disputed Rogers Haydon’s sales practices, according to a complaint dated December 22, 2010. Allegedly, Haydon made unsuitable recommendations that resulted in poor performance in mutual fund investments. It appears that Haydon allegedly caused the client to sustain damages. As a result, the client sought compensation from Morgan Keegan & Company Inc. or Haydon in an amount believed to exceed $5,000 in this matter. However, the firm denied this complaint.
Do you need clarification on any investment losses relating to Rogers Haydon? Contact Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer concerning a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Haydon and brokerage firms Haydon worked for deny accusations 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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