One or more investors possibly experienced losses due to securities broker Jordan Paul McLendon [CRD: 6410265, St. Petersburg, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McLendon worked for several brokerage firms, including Raymond James Associates Inc. from October 6, 2023 to July 11, 2024; UBS Financial Services Inc. from December […]

Investors might have sustained losses due to securities broker Frank John Ward [CRD: 1621434, Omaha, Nebraska], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ward joined Raymond James Financial Services Inc. on June 17, 2015, and Raymond James Financial Services Advisors Inc. on June 19, 2015. Read the following sections to learn […]

One or more investors apparently complained about securities broker Christopher William Campbell (also known as Chris Campbell and Christopher W. Campbell) [CRD: 5597534, Buffalo, New York], based on disclosures through FINRA’s BrokerCheck. Evidently, Campbell has been registered with Raymond James Financial Services Inc. since November 6, 2017, and with Raymond James Financial Services Advisors Inc. […]

One or more investors apparently complained about securities broker Pasquale Evangelista (also known as Pat Evangelista) [CRD: 2443782, Naples, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Pasquale Evangelista has worked for Raymond James Associates Inc. since March 19, 2010, serving both as a broker and investment adviser at their Naples, Florida branch. See the […]

Soreide Law Group is investigating possible investor claims against securities broker William Forrest Winchester III (also known as Bill Woods) (CRD: 4404327, Chattanooga, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Winchester borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Joel Kichline (also known as Joel Paul Kichline) [CRD: 1416219, Frontenac, MO. Notably, Stifel Nicolaus Company Incorporated permitted Joel Kichline to resign amid allegations of his misconduct. Supposedly, Kichline possibly engaged in discretionary trading. Here is a brief summary of Stifel Nicolaus Company Incorporated’s […]

Soreide Law Group is investigating possible investor claims against securities broker Doan Nguyen [CRD: 6554242, Vancouver, BC]. Notably, FINRA sanctioned the securities broker, who worked for Raymond James (USA) Ltd. Allegedly, Nguyen failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

Raymond James, Morgan Stanley Clients Voice Concerns About Securities Broker Belk Daughtridge Soreide Law Group is reviewing investor complaints concerning securities broker John Belk Daughtridge “Belk Daughtridge” (CRD#: 2735851, Mount Pleasant, South Carolina), as disclosed on FINRA BrokerCheck. Evidently, Daughtridge worked for Citigroup Global Markets, Morgan Stanley, and Raymond James & Associates. Read further to […]

Raymond James Client Disputes Involve Lynn Faust The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important disclosures concerning securities broker Lynn Cooper Faust aka Donna Lynn Cooper (CRD#: 729012, Greenville, South Carolina). Specifically, Faust received FINRA sanctions over her alleged unsuitable trading of UITs in Raymond James client accounts. Not only that but Raymond James […]