Sara Qazi: FINRA Suspends Raymond James Broker
Sara Qazi (CRD# 4118177), a broker registered with Raymond James & Associates, participated in an unapproved private securities transaction, according to a disciplinary action. MDF Law is investigating the Beverly Hills-based financial professional for similar conduct. We encourage investors with concerns about their accounts to contact us as soon as possible. Details regarding the allegations […]
Marc Hallick Involved in $6.5 Million Dispute
Marc Hallick (CRD# 4652410), a broker registered with Raymond James & Associates, made unsuitable sales on margin, according to an investor dispute. MDF Law is investigating the The Villages, Florida-based financial professional for similar conduct. Contact our firm for a free consultation if you have concerns about your own investments. More information about the allegations […]
Kirk Crossen Involved in $6 Million Suitability Dispute
Kirk Crossen (CRD# 2742256), formerly a broker registered with Raymond James & Associates, is involved in a $6 million investor dispute alleging he executed an unsuitable strategy. MDF Law is investigating the former Carmel, Indiana-based financial professional for similar conduct. Investors with concerns about their accounts should contact us for a free consultation. To learn […]
Andrew Kubicsko Involved in Thornburg Mutual Fund Dispute
Andrew Kubicsko (CRD# 861670), a broker registered with Raymond James & Associates, recommended an unsuitable investment in Thornburg Limited Term Municipal Fund, as alleged by an investor dispute. MDF Law is investigating the Chicago broker for recommending the Thornburg Limited Term Municipal Fund to other clients. If you have complaints, you should contact our law […]
FINRA Bars Jermaine Benjamin Over Misappropriation Allegations
Jermaine Benjamin (CRD# 6152653), formerly a broker registered with Raymond James Financial Services, was barred this month from registering with any broker-dealer firm in any capacity. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on July 11, 2023, the regulator sanctioned him over allegations that he refused to cooperate with its investigation […]
Raymond James’s Colin Seibert Involved in New Customer Arbitration
Colin Seibert (CRD #2710335), based in Houma, Louisiana is involved in a new investor dispute concerning oil and gas investments. Seibert has been licensed with Raymond James since 20013. The information for this article is based on Seibert’s public BrokerCheck report, which was last accessed on February 16, 2023. 2021 Customer Settlement According to the […]
REIT Complaint Filed Involving Infinex Advisor Michael Chandler
Jackson, Mississippi broker and investment adviser Michael Chandler (CRD# 2696470) is involved in a customer dispute concerning the sale of a non-traded REIT. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on March 23, 2022, he has been a representative of Infinex Investments since 2013. Complaint: No Due Diligence In November […]
$500,000 Complaint Filed Over Kelvern Chen’s Sale of Northstar Trust
Former Raymond James broker Kelvern Chen (CRD# 5679957) is involved in a pending customer dispute involving his sale of Northstar Trust. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 17, 2022, he is a broker and investment adviser registered with Northwestern Mutual Investment Services. Complaint Involves Northstar Trust Contracts In […]
Investor Complaints Continue for Chuck Cox Financial
Chuck Cox (CRD# 2283909) is involved in a customer dispute alleging six-figure damages. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 4, 2022, the Cox Financial broker/adviser is currently based in Federal Way, Washington. Pending Complaint: Cox Violated Fiduciary Duty In December 2021 a customer alleged Mr. Cox failed to […]
FINRA: Former Ray Jay Advisor Paul Zirakian Involved in Settled Complaints
Paul Zirakian (CRD# 2311324) has been embroiled in customer disputes that previously settled. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 8, 2021, Mr. Zirakian is a broker and investment adviser registered with Ameriprise Financial Services in The Villages, Florida. Complaints: Zirakian Breached his Fiduciary Duty, Recommended Unsuitable Investments […]