Former Raymond James Broker Robert Scherzer Disciplined for Private Securities Transactions
Robert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
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Staff Attorney
- Mar 31, 2017
- 2 min
Former LPL Broker Michael Babyak Disciplined for Private Securities transactions
In October 2016, Michael Babyak, Jr. II (Babyak), a registered representative, settled a complaint with the Financial Industry Regulatory...
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Staff Attorney
- Jan 4, 2017
- 2 min
Former Raymond James Broker Richard Sampley Disciplined for Recommendations in Renewable Energy Comp
In October 2016, Richard Sampley (Sampley), a registered representative, settled a complaint with the Financial Industry Regulatory...
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