Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida]. Evidently, Ruben Frezzotti worked for Raymond James Associates Inc. from February 13, 2013, to October 10, 2023. Certain recent disclosures, including client disputes and an employment termination, have raised concerns regarding his conduct. Continue reading to learn more about these allegations about Frezzotti.
Evidently, on September 21, 2023, Raymond James Associates Inc. disaffiliated with Ruben Frezzotti, citing allegations that he engaged in conduct inconsistent with firm policies. This supposedly concerned outside business activities related to real estate lending.
Also, on July 22, 2021, a client of Raymond James Associates Inc. filed FINRA Arbitration No. 21-01873, accusing Ruben Frezzotti of recommending unsuitable investments in an offshore fixed annuity whose issuer became insolvent. The client alleged that these actions caused damages related to a fixed annuity product. The client initially asked for $5,000,000. On January 5, 2023, the matter settled, with Raymond James paying the client $900,000. The broker was not asked to contribute to the settlement.
Particularly, on November 21, 2017, FINRA Arbitration No. 17-03139 was filed against Raymond James Associates Inc., Raymond James Financial Services Inc., and Morgan Keegan Company Inc., alleging negligence, breach of fiduciary duty, and breach of contract. The incident apparently involved real estate securities. The client requested $180,000 in damages. On January 5, 2023, a FINRA arbitration panel awarded the client $43,827 in damages.
Specifically, on June 5, 2012, FINRA Arbitration No. 12-01850 was filed about Morgan Keegan Company Inc., alleging unsuitable advice and misrepresentation concerning a real estate investment trust (REIT). The client’s claim settled on December 18, 2013, with the firm paying $25,000 in compensation.
Also, on August 22, 2011, FINRA Arbitration No. 11-04591 was filed about Morgan Keegan Company Inc., alleging unsuitability, misrepresentation, and churning regarding a variable annuity and REIT. Evidently, the case settled on November 14, 2012, with the client receiving $5,000.
Evidently, on February 22, 2011, a client dispute was filed against Morgan Keegan Company Inc., alleging unsuitable recommendations in Inland American Real Estate in 2008. The client claimed the illiquidity of the shares caused problems. Therefore, the client requested $11,000 in damages. However, the firm denied the claim, and no compensation was awarded.
For more information about this broker, contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Frezzotti and the brokerage firms he worked for deny any accusations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm also handles cases on a contingency basis.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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