10.0David P Neuman
(720) 599-3505

INVESTIGATION: WILLIAM COUNCIL of Raymond James – San Diego, CA

SEARCH OUR BLOGS
26
Dec

INVESTIGATION: WILLIAM COUNCIL of Raymond James – San Diego, CA

Posted by admin | 0 Comment
INVESTIGATION:  WILLIAM COUNCIL of Raymond James – San Diego, CA

William Council, with Raymond James, Subject of Two Customer Complaints

 

Have you lost money with financial advisor William Council of San Diego, California?  We are investigating allegations made against William M. Council.  According to FINRA’s BrokerCheck, Council has been the subject of one customer complaint, alleging claims regarding over-concentration of stocks in one market sector.    Another complaint has recently been filed.  The complaints were lodged against Council’s brokerage firm, Raymond James.

 

William Council has been a financial advisor and registered representative of Raymond James from January 2015 to the present.  Council was also previously with D.A. Davidson from November 2013 to January 2015.  He works at a branch office in California.  Council also recently was the subject of eight financial compromises with various banks.

 

Brokerage firms like Raymond James 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.  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 Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in the San Diego area.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Raymond James.

 

Click to view:  Council, William BrokerCheck 1.17.19

 

If you lost money with William Council or Raymond James, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

 

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.
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

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


Copyright © 2020 Israels Neuman, PLC. All Rights Reserved | Sitemap