top of page
Search


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...
Staff Attorney
Dec 19, 20172 min read
3 views
0 comments
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...
Staff Attorney
Mar 31, 20172 min read
2 views
0 comments
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...
Staff Attorney
Jan 4, 20172 min read
2 views
0 comments
bottom of page