DAVID HARRY RICHMAN is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 8910 UNIVERSITY CENTER LANE, SUITE 600, SAN DIEGO, CA, 92122.
DAVID HARRY RICHMAN has worked at RAYMOND JAMES & ASSOCIATES, INC. since April 05, 2016
Disclosure History
DAVID HARRY RICHMAN has 5 Disclosure Event(s).
Date: September 23, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: July 30, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: July 30, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: July 30, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: July 09, 2009 Category: Customer Dispute Allegations: CLAIMANTS ALLEGED, INTER ALIA, THAT DURING THE SUMMER OF 2008 TO OCTOBER 2008 THE FA MISREPRESENTED RECOMMENDATIONS THAT WERE NOT SUITABLE FOR THE CUSTOMER'S INVESTMENT OBJECTIVES. MR. RICHMAN WAS NAMED SOLELY IN HIS CAPACITY AS BRANCH MANAGER. Damage Amount Requested: $1,300,000.00 Settlement Amount: $50,000.00 Broker Comment: THIS CLAIM WAS DENIED AS ENTIRELY WITHOUT MERIT, AND SETTLED SOLELY TO AVOID THE TIME AND EXPENSE OF LITIGATION.
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