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Advocate's
Warning

Raymond James Financial

Complaint - Raymond James Financial
Date:     09/11/2003

    I filed complaints with the SEC & Dept of Labor, (whistleblower protection), against former employer, Stock Brokerage firm; Raymond James Financial, (NYSE: RJF). SEC will not respond to follow up inquiries, Dept of Labor is dismissing the case for various "pass the buck" type reasons.
    Issue at large: From 1983 to 2002, RJF withheld 15% on Canadian Dividends in error on retirement account assets, sending the client funds to Canada.
    RJF has not disclosed the error to the clients, and prior to my departure with the firm, were unwilling to file to recover funds from what I understood to be fear of making clients aware of the issue.
    I voiced concerns of fiduciary negligence and cover-up, and am looking for a way to make clients aware that millions of dollars over an 18 year period were negligently taken from their dividend income. Please help me find a way to let the investors know!  -  WBR

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Last Revised: July 12, 2006 12:37 AM,

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