Raymond James' Thomas OBrien Involved In Investor Disputes Investors are coming forward with disputes concerning Thomas OBrien [CRD#: 2282208, Shreveport, Louisiana]. Notably, the securities broker, who has worked for Raymond James Associates since 2013, discloses three investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Raymond James Associates clients indicated that OBrien, among other […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against:  RAYMOND JAMES FINANCIAL SERVICES, INC.   The Claimants, a retired, married couple from New Jersey, relied on Kenneth Joseph Fitzpatrick CRD# 1850858, who was an employee and registered representative of RAYMOND JAMES, to manage their money through retirement. The Claimants […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Joseph Henry Johnson (CRD #1312422, Registered Principal, Sayville, New York) was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days. Without admitting or […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Todd Lloyd Goedeke (CRD #1210932, Registered Principal, Howards Grove, Wisconsin) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Goedeke consented to the described sanction and to the entry of findings that […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Michael Corbett Milne (CRD #1842992, Registered Principal, Ocala, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without admitting or denying the findings, Milne consented to the described sanctions and […]

Florida's statute of limitations can apply not only to court proceedings, but to securities arbitration cases between investors and their brokers, the Florida Supreme Court ruled recently. The ruling, in favor of Raymond James Financial Services Inc , could in Florida, empower securities arbitrators to cut the time investors have to file a complaint with […]

The Soreide Law Group is investigating claims on behalf of Raymond James Financial Services clients that invested in Duoyuan Global Water, with the firm’s financial advisor Bob Pittman in the Melbourne, Florida office. Upon information and belief, clients of Mr. Pittman’s have suffered substantial damages as a result of Mr. Pittman’s recommendation to purchase Duoyuan […]

Raymond James Financial Services Inc., has paid a $1.79 million arbitration award to an 87-year-old client after going to state court to appeal the judgment writes Darla Mercado, in a November 30, 2011, article for the InvestmentNews.com. The Honorable Judge Emily Tobolowsky, of the 298th Judicial District Court in Dallas last month confirmed the award […]

In an October 2nd, 2011, InvestmentNews.com article, Bruce Kelly writes that stockbrokers who sell products that promise high returns without the approval of their broker-dealers once again have become a leading concern for state securities regulators. This practice is known as “selling away,” and is one of the most common difficulties that independent and franchisee broker-dealers face in […]