WILLIAM JOSEPH CONN is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 101 California Street, Suite 4500, San Francisco, CA, 94111.
WILLIAM JOSEPH CONN has worked at RAYMOND JAMES & ASSOCIATES, INC. since May 03, 2018
Disclosure History
WILLIAM JOSEPH CONN has 2 Disclosure Event(s).
Date: April 25, 2001 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, NEGLIGENCE, BREACH OF CONTRACT, FRAUD, UNAUTHORIZED TRADING, MISREPRESENTATION. DATES OF ALLEGED ACTS: 05/1994-03/2001. Damage Amount Requested: $236,000.00 Settlement Amount: $40,000.00
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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.
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