GARY ALAN RIGBY

GARY ALAN RIGBY is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 2701 SW 34TH STREET, BUILDING 100, OCALA, FL, 34474.

GARY ALAN RIGBY has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 28, 2014

Disclosure History

GARY ALAN RIGBY has 1 Disclosure Event(s).

Date: July 28, 2004
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGE FA FAILED TO SUPERVISE.
Damage Amount Requested: $29,674.00
Settlement Amount: $500.00
Broker Comment: AFTER RECEIVING ADDITIONAL INFORMATION, THE CUSTOMERS DETERMINED THAT ALL CLAIMS AGAINST MR. RIGBY SHOULD BE WITHDRAWN AND/OR DISMISSED WITH PREJUDICE. THE CUSTOMERS HAVE STATED THAT THEY HAVE NO OBJECTION TO EXPUNGEMENT OF THIS MATTER FROM MR. RIGBY'S RECORD. MERRILL LYNCH ULTIMATELY SETTLED THIS MATTER TO AVOID THE COSTS AND VAGARIES OF ARBITRATION.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for GARY ALAN RIGBY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.