Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his career. Investors should review the information below to find out more about the client disputes disclosed on Sweeney’s FINRA BrokerCheck report.
Particularly, a Centaurus Financial Inc. client filed FINRA Arbitration No. 23-01793 regarding Timothy Sweeney. Mainly, the client alleged that Sweeney made unsuitable recommendations by recommending a high-risk and illiquid investment. Because of this, the client allegedly sustained damages related to corporate bonds. Therefore, on March 15, 2024, Centaurus Financial Inc. settled this matter by paying the client $54,328 in damages.
Notably, a Raymond James Financial Services Inc. client disputed Timothy Sweeney’s sales practices, according to a complaint dated July 5, 2005. Allegedly, Sweeney failed to follow instructions by not liquidating shares as directed. It appears that Sweeney allegedly caused the client to incur damages involving stocks. As a result, the client sought compensation from Raymond James Financial Services Inc. or Sweeney in excess of $5,000 in this matter. The complaint was denied on July 19, 2005.
Specifically, a Raymond James Financial Services Inc. client filed FINRA Arbitration No. 02-06146 regarding Timothy Sweeney. Primarily, the client alleged that Sweeney engaged in unsuitable trading. For this reason, the client allegedly incurred damages related to stocks. Consequently, on January 5, 2004, Raymond James Financial Services Inc. settled this matter by paying the client $9,999 in damages.
Do you need clarification on any investment losses relating to Timothy Sweeney? You can contact Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Sweeney and brokerage firms Sweeney worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com