MONICA AGNES WILLIAMS is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 1201 COUNTY RD 1, SUITE A, DUNEDIN, FL, 34698.
MONICA AGNES WILLIAMS has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since December 03, 1999
Disclosure History
MONICA AGNES WILLIAMS has 2 Disclosure Event(s).
Date: September 27, 2005 Category: Customer Dispute Allegations: CLAIMANT IS ALLEGING MISREPRESENTATION AND OMISSIONS, FRAUD, BREACH OF FIDUCIARY DUTY, UNJUST ENRICHMENT, EXPLOITATION OF THE ELDERLY, NEGLIGENCE AND GROSS NEGLIGENCE AND NEGLIGENT SUPERVISION. INCIDENT DATES: 4/95 - 3/04. COMPENSATORY DAMAGES UNSPECIFIED. Settlement Amount: $35,000.00
Date: June 28, 1989 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HE WAS TOLD HIS STOP/LOSS ON EACH STOCK WOULD PROTECT HIM. HE CLAIMS HE WAS TOLD THERE WAS NO DOWNSIDE ON THE HOLISTIC SERVICES STOCK BY THE MANAGER OF THE OFFICE. CLIENT ALSO CLAIMS THAT NONE OF THE STOPS WERE EXERCISED WHEN EQUITIES CLOSED. Damages Granted: $3,467.25 Broker Comment: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL ORFULL) AWARD AMOUNT $956.25; ATTORNEY'S FEES; RELIEF HAS BEENAWARDED (PARTIAL OR FULL); AWARD AMOUNT $2,511.00. MS. WILLIAMSDID NOT CONTRIBUTE TOWARDS THE SETTLEMENT.NOT PROVIDED
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