Staff AttorneyDec 19, 20172 minFormer Raymond James Broker Robert Scherzer Disciplined for Private Securities TransactionsRobert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
Staff AttorneyMar 31, 20172 minFormer LPL Broker Michael Babyak Disciplined for Private Securities transactionsIn October 2016, Michael Babyak, Jr. II (Babyak), a registered representative, settled a complaint with the Financial Industry Regulatory...
Staff AttorneyJan 4, 20172 minFormer Raymond James Broker Richard Sampley Disciplined for Recommendations in Renewable Energy CompIn October 2016, Richard Sampley (Sampley), a registered representative, settled a complaint with the Financial Industry Regulatory...