Articles Tagged with Raymond James & Associates

Donald CoxPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Michigan-based Raymond James & Associates broker/adviser Donald Cox is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cox (CRD# 716663).

Donald Cox has spent 38 years in the securities industry and has been registered with Raymond James & Associates in Wyandotte, Michigan and Naples, Florida since 2004. Previous registrations include JJB Hilliard WL Lyons in Louisville, Kentucky (1997-2004) and First of Michigan Corporation in Detroit, Michigan (1980-1997). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 6, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 23, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 15 (Foreign Currency Options Examination), which he obtained on May 18, 1984; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1980; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on January 27, 1986. He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Colorado, Florida, Iowa, Michigan, the US Virgin Islands, and Washington. 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 pending customer complaint and one regulatory sanction.

Dianne TownsendPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that Florida-based Raymond James & Associates broker/adviser Dianne Townsend has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Townsend (CRD# 2216130).

Dianne Townsend has spent 26 years in the securities industry and has been registered with Raymond James & Associates in Naples, Florida since 2010. Previous registrations include Vision Investment Services in Naples, Florida (2000-2010); Northern Trust Securities in Naples, Florida (1999-2010); Amsouth Investment Services in Birmingham, Alabama (1995-1999); and Mark Twain Brokerage Services (1992-1995). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on September 10, 1996; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 25, 1992; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which she obtained on March 19, 1992. She is a registered broker and investment adviser with 22 US states and territories: Alabama, Arizona, California, Colorado, Delaware, Florida, Georgia, Indiana, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Vermont, Virginia, Washington, and Wisconsin. She 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 her BrokerCheck report, she has received three customer complaints, one pending customer complaint, and two denied customer complaints.

Barry BredtPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that Florida-based Raymond James & Associates broker/adviser Barry Bredt has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bredt (CRD# 29542).

Barry Bredt has spent 49 years in the securities industry and has been registered with Raymond James & Associates in Bradenton, Florida since 1999. Previous registrations include First Union Capital Markets in Charlotte, North Carolina (1991-1999); Gruntal & Company in New York, New York (1982-1991); Bache Halsey Staurt Shields (1978-1982); Philadelphia Pension Securities Corporation (1975-1978); Boening & Scattergood (1972-1975); and Drexel Burnham & Company (1969-1972). He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 10, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 28, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 15 (Foreign Currency Options Examination), which he obtained on February 16, 1988; Series 5 (Interest Rate Options Examination), which he obtained on December 21, 1983; PC (AMEX Put and Call Exam), which he obtained on June 14, 1978; Series 1 (Registered Representative Examination), which he obtained on March 26, 1959; Series 4 (Registered Options Principal Examination), which he obtained on April 2, 1984; and Series 40 (Registered Principal Examination), which he obtained on October 9, 1968. He is a registered broker and investment adviser with 15 US states and territories: Alabama, Arizona, California, Delaware, Florida, Maine, Maryland, Massachusetts, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, and Texas. 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 two customer complaints that were closed or denied.

Joseph WoitkoskiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that former Massachusetts-based Raymond James & Associates broker/adviser Joseph Woitkoski was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Woitkoski (CRD# 3023301).

Joseph Woitkoski has spent 20 years in the securities industry and was most recently registered with Raymond James & Associates in Pittsfield, Massachusetts (2010-2018). Previous registrations include Merrill Lynch Pierce Fenner & Smith in Albany, New York (2004-2010) and UBS Financial Services in Weehawken, New Jersey (1998-2004). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 20, 2004; Series 66 (Uniform Combined State Law Examination), which he obtained on June 2, 1998; SIE (Securities Industry Essentials Examination), which he obtained on September 12, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 29, 2008; Series 7 (General Securities Representative Examination), which he obtained on April 20, 1998; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on February 28, 2006; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 14, 2005. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, Joseph Woitkoski was recently discharged from his former employer in connection to alleged rule violations.

John WyshakPublicly 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.

PetMed ExpressPublicly 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.