JAMES ELLIOT FEIT is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 18851 NE 29TH AVENUE, HARBOUR CENTRE, SUITE 400 & 407, AVENTURA, FL, 33180.
JAMES ELLIOT FEIT has worked at RAYMOND JAMES & ASSOCIATES, INC. since December 07, 1999
JAMES ELLIOT FEIT has 2 Disclosure Event(s).
Date: September 20, 2005 Category: Customer Dispute Allegations: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE** ACCOUNT DIVERSIFICATION - CLAIMANT ALLEGES THAT SHE, HER HUSBAND, AND SISTER-IN-LAW, ON THE ADVICE OF FA, INVESTED THEIR MONEY IN ONE AIM WEINGARTEN FUND IN THEIR ACCOUNTS. CLAIMANT FURTHER ALLEGES THAT AS THE FUND CONSISTENTLY DECREASED IN VALUE, THE FA REFUSED TO DIVERSIFY THEIR INVESTMENTS. Damage Amount Requested: $20,000.00 Settlement Amount: $9,900.00 Broker Comment: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE**
Date: July 29, 1991 Category: Regulatory Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTORPROTECT*See FAQ #1* Allegations: CONCEALMENT OF MATERIAL FACTS, FAILURE TOSUPERVISE Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $1,000.00 Sanction Details: FOLLOWING THE EXECUTION OF A STIPULATION ANDCONSENT AGREEMENT, THE DEPARTMENT ISSUED A FINAL ORDER. FEITAGREES TO CEASE AND DESIST ALL VIOLATIONS OF THE PROVISIONS OFCHAPTER 517, FLORIDA STATUTES, AGREES TO NOT ENGAGE INPROHIBITED BUSINESS PRACTICES, AND AGREES TO PAY A FINE OF$1,000.00.
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 JAMES ELLIOT FEIT, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More