JAMES ELLIOT FEIT

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

Disclosure History

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.

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