RAYMOND ERNEST LEE is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 5847 SAN FELIPE ROAD, SUITE 1400 &1550, HOUSTON, TX, 77057.
RAYMOND ERNEST LEE has worked at RAYMOND JAMES & ASSOCIATES, INC. since November 15, 1994
Disclosure History
RAYMOND ERNEST LEE has 1 Disclosure Event(s).
Date: June 16, 1998 Category: Customer Dispute Allegations: CHURNING, UNSUITABILITY, GROSS NEGLIGENCE,FRAUD, BREACH OF FIDUCIARY DUTY, AND VIOLATIONS OF STATE ANDFEDERAL SECURITIES LAWS. ALLEGED ACTUAL DAMAGES OF $150,000PLUS INTEREST, COSTS, ATTORNEYS FEES, AND PUNITIVE DAMAGES OF$1,000,000.00. Damage Amount Requested: $150,000.00 Settlement Amount: $33,000.00 Broker Comment: IN EXCHANGE FOR RELEASE OF ALL CLAIMS, RAYMONDJAMES AND CHIP LEE SETTLED WITH THE [CUSTOMERS] FOR $66,666.66.RAYMOND JAMES AND LEE EACH CONTRIBUTING $33,333.33 TO THESETTLEMENT.NOT PROVIDED
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