Articles Tagged with Raymond James Financial Services

Aaron LeonePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that former California-based Raymond James Financial Services broker/adviser Aaron Leone 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. Leone (CRD# 2819579).

Aaron Leone has spent 21 years in the securities industry and was most recently registered with Raymond James Financial Services in San Francisco, California (2009-2018). Previous registrations include Wachovia Securities in San Francisco, California (2007-2009); Wells Fargo Clearing Services in San Francisco, California (2005-2007); and WM Financial Services in Irvine, California (1997-2005). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 27, 1997; SIE (Securities Industry Essentials Examination), which he obtained on September 11, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 4, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint that was closed with no action taken and he was recently discharged from his former employer in connection to alleged rule violations.

Sean CavanaughPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that California-based Raymond James Financial Services broker/adviser Sean Cavanaugh has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cavanaugh (CRD# 2293517).

Sean Cavanaugh has spent 25 years in the securities industry and has been registered with Raymond James Financial Services in San Diego, California since 2008. Previous registrations include Wamu Investments in Spring Valley, California (1998-2008); Great Western Financial Securities Corporation in Northridge, California (1994-1998); Thomas James Associates in Rochester, New York (1993-1994); and Chatfield Dean & Company in Greenwood Village, Colorado (1992-1993). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 12, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on August 18, 2010; Series 7 (General Securities Representative Examination), which he obtained on November 5, 1992; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on April 2, 2009; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on March 2, 2009. He is a registered broker and investment adviser with 33 US states and territories.

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

Matthew LawsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that Tennessee-based Raymond James Financial Services broker/adviser Matthew Lawson is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lawson (CRD# 2869619).

Matthew Lawson has spent 20 years in the securities industry and has been registered with Raymond James Financial Services in Chattanooga, Tennessee since 2012. Previous registrations include LPL Financial in Chattanooga, Tennessee (2007-2012); SunTrust Investment Services in Chattanooga, Tennessee (2005-2007); Amsouth Investment Services in Birmingham, Alabama (2004-2005); and Merrill Lynch in New York, New York (1997-2004). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 30, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on December 15, 2008; Series 7 (General Securities Representative Examination), which he obtained on May 9, 1997; and Series 24 (General Securities Principal Examination), which he obtained on March 28, 2006. He is a registered broker and investment adviser with 36 US states and territories.

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

stefan pastor

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that former Florida-based Raymond James Financial Services broker/adviser Stefan Pastor, who is involved in a pending customer dispute, was discharged 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. Pastor (CRD# 5141819).

Stefan Pastor has spent eleven years in the securities industry and was most recently registered with Raymond James Financial Services in Fort Lauderdale, Florida (2013). He was previously registered with Walnut Street Securities in Fort Lauderdale, Florida (2011-2013) and Ameriprise Financial Services in Plantation, Florida (2006-2011). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 17, 2006, and Series 7 (General Securities Representative Examination), which he obtained on September 6, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and was discharged from his former employer in connection to alleged rule violations.

paul curranPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 22, 2018 indicate that Texas-based Raymond James Financial Services broker/adviser Paul Curran has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Curran (CRD# 5236647).

Paul Curran has spent eleven years in the securities industry and has been registered with Raymond James Financial Services in El Campo, Texas since 2016. Previous registrations include Cetera Investment Services in El Campo, Texas (2014-2016); LPL Financial in El Campo, Texas (2011-2014); UVest Financial Services Group in El Campo, Texas (2009-2011); and Ameriprise Financial Services in Houston, Texas (2006-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 28, 2006, and Series 7 (General Securities Representative Examination), which he obtained on November 17, 2006. He is a registered broker and investment adviser with two US states: North Carolina and Texas.

According to his BrokerCheck report, Paul Curran has received one pending customer complaint.

James Blair

Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 3, 2017 indicate that former California-based Raymond James Financial Services broker/adviser James Blair has been the subject of resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Blair (CRD# 2352821).

James Blair has spent 23 years in the securities industry and was most recently registered with Raymond James Financial Services in Coronado, California (2002-2017). He was previously registered with Prudential Securities in New York, New York (1993-2002). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

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

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