Articles Tagged with Raymond James & Associates

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 22, 2018 indicate that California-based Raymond James & Associates broker/adviser John Wyshak has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wyshak (CRD# 1272260).

John Wyshak has spent 32 years in the securities industry and has been registered with Raymond James & Associates in Los Angeles, California since 2014. Previous registrations include Wedbush Securities in Los Angeles, California (2002-2014); Ryan Beck & Company in Florham, New Jersey (2002); Gruntal & Company in New York, New York (1998-2002); Merrill Lynch in New York, New York (1996-1998); Bear Stearns & Company in New York, New York (1994-1996); Smith Barney Shearson in New York, New York (1993-1994); Lehman Brothers in New York, New York (1989-1993); and Dean Witter Reynolds (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 10, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 1984; Series 7 (General Securities Representative Examination), which he obtained on June 16, 1984; and Series 3 (National Commodity Futures Examination), which he obtained on January 10, 1983. He is a registered broker and investment adviser with five US states: California, Colorado, Connecticut, Georgia, and Massachusetts. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and six unsatisfied tax liens.

Martin WaldmanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that Florida-based Raymond James & Associates broker/adviser Martin Waldman has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Waldman (CRD# 4566228).

Martin Lewis has spent 14 years in the securities industry and has been registered with Raymond James & Associates in Boca Raton, Florida since 2009. Previous registrations include Vision Investment Services in Boca Raton, Florida (2006-2009) and Northern Trust Securities in Boca Raton, Florida (2003-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 17 US states and territories: California, Connecticut, Florida, Illinois, Iowa, Louisiana, Maryland, Massachusetts, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas and Vermont.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

Gabriel Yanez

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that California-based Morgan Stanley broker/adviser Gabriel Yanez has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Yanez (CRD# 21160950).

Gabriel Yanez has spent 26 years in the securities industry and has been registered with Morgan Stanley in Irvine, California since 2011. Previous registrations include Raymond James & Associates in Newport Beach, California; Sagepoint Financial in Carlsbad, California; SunAmerica Securities in Phoenix, Arizona; First Wall Street Corporation in La Jolla, California; WM Financial Service in Irvine, Califorina; Griffin Financial Services; Great Western Financial Securities in Northridge, California; Griffin Financial Services; GNA Securities in Richmond, California; Royal Alliance Associates in Jersey City, New Jersey; and Fortis Investments in Oaksdale, California. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Colorado, the District of Columbia, Florida, Massachusetts, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Texas, Virginia, and Washington.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

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