Raymond James

We believe financial advice is more than just planning. This is to make a right plan for you. This can happen only if you really understand the whole of your life, not just your financial situation. As your needs become more complex, complicated advice and long-standing relationships become more important.

Let's think about Douglas A. Porter, the branch manager of Raymond James Financial, Inc., located in Santa Barbara, California. Porter has only one black mark in his 48 years as a broker in terms of a general understanding of US financial industry regulators against public databases. Broker as a branch manager, Porter puts customers on improper investment. Complaints, case solved a small part of customer's request. A more comprehensive archive maintained by the National Securities Regulatory Authority suggests that in 2005 Porter was "allowed to resign". Previously I worked at A.G. Edwards & Sons. According to the records provided by the regulatory authorities of each country, this is related to "undisclosed violation of company policy, not violating securities". (FINRA and state regulators share a common database called the central registry.FINRA edits information before posting it to BrokerCheck.)

Raymond James, Porter, his lawyer, Crook did not respond to comment requests. In mid-March I contacted Raymond James by e-mail to learn about Potter's record and asked if the agent he was hired complies with the position of the company in the workplace. Two days after the initial investigation, the records of Porter and the National Securities Regulatory Authority have been updated, he says he was just fired for 'reduction of troops'. Raymond K. Brammer is another broker who lost arbitration related to sexual harassment - and no indications were found in his Broker Check file. BrokerCheck said in his 44 years as a broker there were complaints from two customers, both complaints were settled. However, in 1996, his former employer, Sutro & Co., a securities company was founded. Asked Bramer's arbitration to Bramer's former sales assistant for suspicion of sexual harassment seeking compensation of over 180,000 dollars at statutory charges