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COMPLAINTS Against GARY DODDS of Raymond James – Bend, OR

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29
Sep

COMPLAINTS Against GARY DODDS of Raymond James – Bend, OR

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COMPLAINTS Against GARY DODDS of Raymond James – Bend, OR

RAYMOND JAMES ADVISOR, SUBJECT OF OREGON COMPLAINT

Have you lost money with financial advisor Gary Dodds from Bend, Oregon?  We are looking into allegations made by the Oregon Department of Financial Regulation against Dodds. Oregon alleged that he engaged in unsuitable and excessive trading in customer accounts, including in elderly customers’ accounts.  Oregon also alleged that the brokerage firm failed to reasonably supervise Dodds’ conduct.

To settle these allegations, Raymond James was ordered to pay $120,000 in civil penalties, as well as $123,379 in restitution to certain customers.  The order did not appear to settle claims with Dodds.

Gary Dodds was a registered representative and financial advisor with Raymond James from October 2011 to the April 2019.  He worked out of a branch office in Bend, Oregon. 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Vancouver, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in arbitration proceedings in all 50 states, including investors in Oregon.   Our attorneys have represented over one thousand investors in the past, including claims against Raymond James.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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