FINRA barred securities broker Timothy Fleming Jefferson (also known as Tim Jefferson) [CRD: 5004750, Brentwood, Tennessee], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jefferson worked for Aegis Capital Corp. from February 14, 2024 to May 16, 2024, and for Ameriprise Financial Services LLC from August 16, 2013 […]

Tennessee Securities Division Sanctions Raymond James' Bill Woods Financial Industry Regulatory Authority (FINRA) BrokerCheck contains three disclosures regarding securities broker William Forrest Winchester III (Bill Woods) (CRD#: 4404327, Chattanooga, Tennessee). Notably, Tennessee Securities Division reportedly sanctioned Woods for allegedly failing to disclose loans with Raymond James clients. It appears that Raymond James terminated Woods as […]