WILLIAM RICHARD BLAKE

WILLIAM RICHARD BLAKE is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 1776 I Street NW, Suite 700, Washington, DC, 20006.

WILLIAM RICHARD BLAKE has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since March 30, 2017

Disclosure History

WILLIAM RICHARD BLAKE has 2 Disclosure Event(s).

Date: June 10, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE FA REPRESENTED THAT THERE WOULD NOT BE ANY FEES FOR LIQUIDATING HIS MUTUAL FUND POSITIONS. ALLEGES UNSPECIFIED DAMAGES BUT DETERMINED TO BE GREATER THAN $5,000.00. (06/08/2010)
Broker Comment: COMPLAINT DENIED.

Date: May 17, 2000
Category: Customer Dispute
Allegations: (A) UTILITIES THAT WERE RECOMMENDED WERE UNSAFE.(B) THE FIXED INCOME INVESTMENTS WERE UNSUITABLE.
Settlement Amount: $9,990.00

More Information

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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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