Paul Steffany and Raymond James and Associates, Inc.
Have you lost money with financial advisor Paul Steffany of Wilton, Connecticut? We are investigating allegations made by the Arizona Corporation Commission against Steffany. Arizona alleged that Steffany stole at least $112,000 from a testamentary trust for which he served as a trustee. Arizona alleged that he accomplished the theft by forging the signature of a co-executor on at least twelve checks. Arizona revoked Steffany’s securities license in the state.
Paul Steffany was a financial advisor and registered representative of Raymond James and Associates, Inc. from June 2007 to June 2014. He worked at a branch office in Wilton, Connecticut. Steffany was also terminated by Raymond James for this conduct.
Brokerage firms like Raymond James and Associates have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Steffany, Paul Arizona Comp
Click to view: Steffany, Paul BrokerCheck 8.6.16
Our office handles all of our arbitration cases on a contingent fee basis, meaning you do not pay unless we recover money for you.
HAVE YOU LOST MONEY WITH PAUL STEFFANY OR RAYMOND JAMES AND ASSOCIATES?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Denver Office: (720) 599-3505
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Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.