MARILYN SCHMITZ is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 6392 FIRST AVENUE NORTH, ST PETERSBURG, FL, 33710.
MARILYN SCHMITZ has worked at RAYMOND JAMES & ASSOCIATES, INC. since August 26, 1987
MARILYN SCHMITZ has 2 Disclosure Event(s).
Date: July 26, 2011 Category: Customer Dispute Allegations: MISREPRESENTATION. ACTIVITY DATES: 8/31/05 - 11/9/05. Settlement Amount: $300,080.59 Broker Comment: THIS SETTLEMENT IS THE RESULT OF A FIRM WIDE AGREEMENT TO REPURCHASE AUCTION RATE SECURITIES (ARS) THAT EXPERIENCED FAILED AUCTIONS AND LIMITED LIQUIDITY THROUGHOUT THE INDUSTRY. THE SETTLEMENT REPURCHASE OF THE ARS WAS EXECUTED AT PAR AND THE FINANCIAL ADVISOR WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT.
Date: February 04, 1999 Category: Criminal Charges: 1. VIOLATION OF 18 U.S.C 371 (FELONYCONSPIRACY TO COMMIT BANKRUPTCY FRAUD, PERJURY & OBSTRUCTION OFJUSTICE(COUNT ONE ON INDICTMENT) 2. VIOLATION OF 18 U.S.C. 152AND 2 (FELONY)-BANKRUPTCY FRAUD (COUNT TWO ON INDICTMENT.) 3.VIOLATION OF 18 U.S.C. 1503(FELONY)-OBSTRUCTION OF JUSTICE(COUNT FIVE ON INDICTMENT) 4. VIOLATION OF 18 U.S.C. 1623(FELONY)-FALSE STATEMENT UNDER OATH (COUNT SEVEN ON INDICTMENT) Charge Type: FELONY Disposition: COUNT ONE - GUILTY (FELONY CONSPIRACY TO COMMITBANKRUPTCY FRAUD, PERJURY & OBSTRUCTION OF JUSTICE.)***CONVICTION REVERSED & MOTION FOR NEW TRIAL GRANTED 9/2/99***///COUNT ONE CHARGE DISMISSED 01/03/2000///COUNT TWO-- NOT GUILTY (FELONY BANKRUPTCY FRAUD.) COUNT FIVE - NOT GUILTY(FELONY OBSTRUCTION OF JUSTICE.) COUNT SEVEN - GUILTY (FELONY FALSE STATEMENT UNDER OATH.)***CONVICTION REVERSED & MOTION FOR A NEW TRIAL GRANTED 9/2/99***///COUNT SEVEN CHARGE DISMISSED 01/03/2000/// Broker Comment: INDICTMENT ALLEGED CONSPIRACY, BANKRUPTCY FRAUD,PERJURY AND OBSTRUCTION OF JUSTICE STEMMING FROM 1994 STORAGEOF SOME HOUSEHOLD FURNISHINGS BELONGING TO BANKRUPTCY ESTATE OFNEIGHBOR GOING THROUGH DIVORCE. ***UPDATE--- ORDER GRANTING NEW TRIAL IS BEING MAILED TO THE NASD 9/22/99-***///UPDATE 1/31/2000: COUNT ONE AND COUNT SEVEN HAVE BEEN DISMISSED EFFECTIVE 01/03/2000///
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