WARNING! Impending Investigation: MARK A. BULLIVANT and RAYMOND JAMES and ASSOCIATES
Mark A. Bullivant and Raymond James and Associates
Have you lost money with financial advisor Mark A. Bullivant of Fort Myers, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mark Bullivant. Bullivant was barred from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Bullivant for allegations that he stole or converted money from clients.
Mark A. Bullivant was a financial advisor and registered representative of Raymond James & Associates from April 2012 to December 2013. Bullivant was also registered with Ameriprise Financial Services from October 2009 to April 2012. He worked at a branch office in Fort Myers, Florida.
Brokerage firms like Raymond James and Ameriprise have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies, such as refraining from selling investments and securities that are not approved by the firm. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
If you lost money with Mark Bullivant or Raymond James & Associates, please Contact Us at 720-599-3505 for a free evaluation of your case.
Click to view: Bullivant FINRA AWC
Click to view: Bullivant BrokerCheck 6.11.15