Raymond James’ Allegations Regarding Firing Ruben Frezzotti

Information on Frezzotti’s termination is available on FINRA’s BrokerCheck.  According to a disclosure, Frezzotti was discharged when he was “alleged to have engaged in conduct inconsistent with firm policies applicable to an outside business activity related to real estate lending”. 

Background on Ruben Frezzotti

Ruben Frezzotti was licensed with Raymond James from February 2013 to September 2023 at a Coral Gables, Florida office.  He is now licensed as an investment advisory representative with International Assets Investment Management at a Homestead, Florida office.  Additionally, this advisor has been the subject of seven customer complaints during his tenure in the securities industry.

Is Raymond James Responsible for Frezzotti’s Conduct?

Under the auspices of FINRA Rule 3110, brokerage firms must sufficiently monitor the activity of its stockbrokers.  Raymond James could be liable if it failed to reasonably supervise him, considering factors such as the numerous customer complaints made against this advisor.

We Help Investors Nationwide, Including in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  Attorney David Neuman is licensed to practice law in Florida. If you were a client of Ruben Frezzotti and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Frezzotti’s BrokerCheck Report

Contact Israels & Neuman for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.