CHRIS THOMAS PIKE is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 1001 Bishop Street, Suite 2920, Honolulu, HI, 96813.
CHRIS THOMAS PIKE has worked at RAYMOND JAMES & ASSOCIATES, INC. since November 30, 2017
Disclosure History
CHRIS THOMAS PIKE has 1 Disclosure Event(s).
Date: December 05, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE WAS TOLD HER INVESTMENTS "WOULD NOT AND COULD NOT GO DOWN" Damage Amount Requested: $12,000.00 Broker Comment: FROM THE 7/9/07 LETTER FROM THE STATE OF HAWAII SECURITIES INVESTIGATOR, [THIRD PARTY] : "DEAR MR. PIKE: THE SECURITIES ENFORCEMENT BRANCH OF THE DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS, STATE OF HAWAII, HAS COMPLETED OUR INVESTIGATION AGAINST WEDBUSH MORGAN SECURITIES, INC. WE HAVE REVIEWED [CUSTOMER'S] COMPLAINT, THE AVAILABLE DOCUMENTARY EVIDENCE AND YOUR RESPONSE AND FOUND INSUFFICIENT EVIDENCE OF ANY VIOLATION OF THE STATE OF HAWAII SECURITIES LAWS. OUR OFFICE IS THEREFORE CLOSING OUR FILE ON THIS MATTER. PLEASE BE ADVISED THAT OUR OFFICE MAY REACTIVATE THIS CASE, SHOULD CIRCUMSTANCES WARRANT SUCH ACTION. THANK YOU FOR COOPERATION IN THIS MATTER. VERY TRULY YOURS, [THIRD PARTY]"
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