Raymond James’ financial advisor Gregory Collier has had a continuous association with Raymond James since August 2005. He also reveals a business association with Mount Dora, FL based on Collier Financial Solutions.
Disclosures on his BrokerCheck record are:
- Collier was accused of managing a portfolio poorly and for initiating trades that were unsuitable, with the customer claiming $25K in damages. This was in 2019. The claim was denied.
- Collier was accused of making unauthorized trades in a customer’s account that resulted in losses. This was in December 2020. The customer was paid $200K in settlement of the claim. The FINRA case reference number is 19-3845.
These disclosures are as per the requirements of the agency that licenses and regulates brokers, as well as brokerage firms, FINRA (Financial Industry Regulatory Authority), both brokers and brokerage firms, are required to disclose disputes, customer complaints, and regulatory sanctions, which are made available on their public profile on the BrokerCheck record. Judgments, liens, and personal bankruptcies are also required to be disclosed by brokers.
What Should Raymond James Advisor Gregory Collier’s Client Do?
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Investors can become victims of fraud and/ or negligence of their brokers. It is best to be guided by a professional if that happens. A simple portfolio review by an investment fraud lawyer can help determine if there was any fraud.
Although investment losses may seem simple from the outside, there are often many legal and regulatory issues that could have contributed to or caused them. Although the term “securities fraud” may sound simple, it is a complicated area of law. There are many ways to prove that securities fraud occurred.
Customers of financial service firms are often unaware of the legal and regulatory issues that could lead to securities fraud, negligence, or other inappropriate behavior. They simply know something is wrong and that the portfolio suffered losses. They are often able to recognize the loss and realize that their financial security (e.g., retirement or ability to maintain their lifestyle) is at stake. They may now be at risk.
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Investors who are victims of investment fraud have little time to lose. It is crucial that you take action quickly. Thibaut P.A., the Investment Fraud Lawyers are investment scam attorneys with more than 100 years of industry experience. Our investment-fraud lawyers have the knowledge and experience to help you recover your investment.
They are former licensed brokers and defense attorneys and have an insider’s perspective on these legal and regulatory issues and the way financial service firms and their lawyers treat and evaluate them. Their knowledge and experience should be your ally. They will fight for you and help you to recover your investment.
Our investment fraud lawyers have over 50 years of experience and millions of dollars recovered. They are determined to help investors recover their losses. It is worse than losing your investment money and not being able to recover it. A good investment fraud lawyer can quickly take legal action, including FINRA arbitration or filing complaints to FINRA. We make the process simple and straightforward for investors, even though it may seem daunting or complicated.
With locations in Florida, New York, Arizona, North Carolina, and Texas, we represent investors nationwide in their battles against stockbrokers and broker-dealers for recovering losses incurred due to their malpractices. You can speak to one of our experienced securities attorneys should you have doubts or questions about your account and how it has been handled. Most of our representation is on a contingent basis; we don’t get paid until you are successful.
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