Advisor Alert: Our Attorneys Are Investigating Raymond Sardiña For Investment Fraud
Did You Lose Money Because of Raymond Sardiña?
Filed: March 11, 2024
Raymond Sardiña currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint and two (2) regulatory events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Raymond Sardiña.
Who Is Raymond Sardiña of Raymond James & Associates, Inc.?
- Advisor Name: Raymond Sardiña
- Aliases: Raymond Sardiña
- CRD: 3068885
- Location: Coral Gables and Cutler Bay, Florida
- Current Employer: Raymond James & Associates, Inc.
- Previous Firms: Morgan Stanley
- Number of Known Customer Complaints: 1
- Number of Known Regulatory Events: 2
- Can Raymond Sardiña Be Sued: Yes, in Private Arbitration
- Can Raymond Sardiña’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $1,500,000
- Highest Settlement: Unknown
If you have suffered investment losses by Raymond Sardiña, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Raymond Sardiña For Broker Misconduct
As of this publication date, Raymond Sardiña has been the subject of 1 customer dispute and 2 regulatory events. Let’s review it below.
In December 2022, a FINRA arbitration was filed against or in reference to Raymond Sardiña by a customer of Raymond James & Associates, Inc. alleging that Mr. inappropriately invested the client in speculative high-risk investments using margin, including investments in equity-linked securities focused on energy and biotech and concentrated positions. Per the customer, he lost over $1,500,000 because of Mr. Sardiña’s actions. As of this publication date, this claim remains pending.
In March 2022, The State of Florida Department of Financial Services initiated a regulatory action against or in reference to Raymond Sardiña for untimely completion of continuing education.
In March 2015, FINRA initiated a regulatory action against or in reference to Raymond Sardiña for allegedly borrowing $10,000 from an individual, a close friend, and customer of the firm, and repaid the loan when the individual was yet a customer of the firm, contrary to his member firm’s policies and procedures.
How To File A Claim Against Raymond Sardiña of Raymond James & Associates, Inc. (previously with Morgan Stanley) To Get Your Money Back
If you have questions about Raymond Sardiña, Raymond James & Associates, Inc., Morgan Stanley, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.