STEVEN ALEC BUSHMAN is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 9822 TAPESTRY PARK CIRCLE, SUITE 202, JACKSONVILLE, FL, 32246.
STEVEN ALEC BUSHMAN has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 09, 2007
Disclosure History
STEVEN ALEC BUSHMAN has 4 Disclosure Event(s).
Date: March 08, 2017 Category: Customer Dispute Allegations: Unauthorized trading. Activity Date: 10/26/2016. Broker Comment: I deny the allegations in the client's complaint and plan to aggressively defend this matter. The trades at issue were requested and executed at the client's request, and further against my advice due to liquidity and tax considerations.
Date: May 01, 1996 Category: Customer Dispute Allegations: PRU WAS BEING SUED BY [CUSTOMER] & SAIDTHEY DID NOT ADMIT ANYTHING WAS WRONG BUT IF IT WAS IT WAS LYNNSHAD & STOVE BUSHMANS FAULT. THIS ACTION FILED BY PRU AFTER ILEFT THEIR EMPLOYMENT Damages Granted: $3,400.00 Broker Comment: NASD FOUND THAT LYNN & I WERE 2090 RESPONSIBLE &WERE EACH TO PAY 1/2 OF $1700 & INTEREST TO CLIENTI HAD NO INVOLVEMENT IN THE QUESTIONSTRANSACTION. THE ACCOUNT WAS HELD IN ONE JOINT BUSINESS NUMBER& MANAGED BY MY PARTNER LYNN. THE PROCEEDING LASTED 3 DAYS & IWAS NEVER ASKED A QUESTION.
Date: February 17, 1994 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT FINANCIAL ADVISOR GUARANTEED THE INVESTMENT WOULD BE SAFE UNTIL THE HYPERION 1997 TRUST EXPIRED. HE ALLEGES LOSS OF APPROX. $11,000. Damage Amount Requested: $11,000.00 Settlement Amount: $10,000.00 Broker Comment: PLEASE ARCHIVE, ITEM NOT REPORTABLE. VERBAL COMPLAINTS NOT REPORTABLE. ITEM DOES NOT MEET REPORTING CRITERIA - PLEASE ARCHIVE.
More Information
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