JOHN HILLIARD PETTEY

JOHN HILLIARD PETTEY is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 1100 RIDGEWAY LOOP ROAD, SUITE 600, MEMPHIS, TN, 38120.

JOHN HILLIARD PETTEY has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 13, 2013

Disclosure History

JOHN HILLIARD PETTEY has 3 Disclosure Event(s).

Date: November 08, 2010
Category: Customer Dispute
Allegations: CLAIM ALLEGES MISREPRESENTATION, UNSUITABILITY AND FAILURE TO FOLLOW INSTRUCTIONS WITH REGARD TO MUTUAL FUNDS IN 2006 AND 2007.
Damage Amount Requested: $116,333.33
Settlement Amount: $75,000.00

Date: July 19, 2010
Category: Customer Dispute
Allegations: CLAIM ALLEGES UNSUITABILITY WITH REGARD TO MUTUAL FUNDS PURCHASED IN 2006 AND 2007.
Settlement Amount: $80,000.00

Date: June 19, 2009
Category: Customer Dispute
Allegations: CLAIM ALLEGES UNSUITABILITY AND MISREPRESENTATION WITH REGARD TO MUTUAL FUNDS PURCHASED BETWEEN 10/05 AND 6/07.
Damage Amount Requested: $197,662.00
Settlement Amount: $53,113.36

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.

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