ALAN JOHN BENWARE is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 11125 PARK BLVD, SUITE 106, SEMINOLE, FL, 33772.
ALAN JOHN BENWARE has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since April 08, 2004
Disclosure History
ALAN JOHN BENWARE has 3 Disclosure Event(s).
Date: March 19, 2014 Category: Customer Dispute Allegations: VIOLATIONS OF NYSE RULE 405 AND RULE 2310; BREACH OF FIDUCIARY DUTY; EXPLOITATION OF A VULNERABLE ADULT; EXPLOITATION OF A DISABLED ADULT; NEGLIGENCE; FAILURE TO SUPERVISE Damage Amount Requested: $224,961.93 Settlement Amount: $17,000.00
Date: June 24, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: May 02, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES UNAUTHORIZED TRADING IN MUTUAL FUND SHARES IN JUNE 2000 Damage Amount Requested: $6,066.00 Broker Comment: CLAIM WAS DENIED BY THE BROKER-DEALER BASED UPON A SIGNED MUTUAL FUND SWITCH FORM AND THE FACT THAT THE COMPLAINED OF TRADES OCCURRED NEARLY A YEAR AGO.
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