PHILIP L EVANS at RAYMOND JAMES & ASSOCIATES, INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1647769
PHILIP L EVANS is an Investment Adviser, associated with RAYMOND JAMES & ASSOCIATES, INC. located at HOUSTON, TX. PHILIP EVANS’s Central Registration Depository (CRD) number is 1647769 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for PHILIP EVANS

    • Event Date: 9/25/1997
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: ALLEGES IE DID NOT MENTION CD PURCHASED IN 1996 WAS A STEP DOWN CALLABLE 15-YEAR CD. CLIENT BELIEVED HE BOUGHT A ONE-YEAR CD WITH A GUARANTEED 9% RETURN. CLIENT SEEKS REDEMPTION.
    • Settlement Amount: $922.40
    • Broker Comment: PAINEWEBBER REIMBURSED CLIENT FOR PURCHASE OF CD AT A COST OF $922.40 Not Provided
See also  BRUCE ERNEST MELTON at BENJAMIN F. EDWARDS & COMPANY, INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

Disclosure #2 for PHILIP EVANS

      • Event Date: 8/7/1995
      • Disclosure Type: Customer Dispute
      • Disclosure Resolution: Award / Judgment
      • Disclosure Detail :: Allegations: BREACH OF FIDUCIARY DUTY VIOLATION OF TEXAS DECEPTIVE TRADE PRACTICES. ACT MISREPRESENTATION, UNSUITABLE, FRAUD & NEGLIGENCE IN CONNECTION W/ THE PURCHASE OF FNMA `Z` BOND (A MORTGAGE -BACKED DERIVATIVE). CLAIMED DAMAGES $57,054.97.
      • Damage Amount Requested: $114,109.94
      • Damages Granted: $82,994.00
      • Arbitration Claim File Detail: 95-03773
      • Broker Comment: AFTER AN NASD ARBITRATION HEARING, AN AWARD WAS RENDERED AGAINST PAINEWEBBER AS FOLLOWS: $57,854. WAS DEEMED PAYABLE TO CLAIMANT FOR ACTUAL DAMAGES, $2000 WAS DEEMED PAYABLE TO CLAIMANT FOR EXPERT FEES, AND $23,140 WAS DEEMED PAYABLE TO CLAIMANT FOR ATTORNEY FEES. NO DAMAGES WERE ASSESSED AGAINST RESPONDENT, PHILIP EVANS. CLIENT AUTHORIZED THE PURCHASE OF A FNMA CMO. IN ERROR, A FNMA `Z` BOND WAS PURCHASED. AFTER DISCOVERING THE ERROR AND DISCUSSING OPTIONS, [CUSTOMER DECIDED TO KEEP THE `Z` BOND THUS RATIFYING THE TRADE. SEVERAL MONTHS LATER, AT THE BOTTOM OF THE WORST BOND MARKET IN HISTORY, THE CUSTOMER SOLD AND WANTED A 100% REFUND. ALL ALLEGATIONS WERE DENIED & NO DAMAGES WERE ASSESSED AGAINST ME.
See also  ANDREW JOSEPH DONNELLY at LPL FINANCIAL LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Should I file a FINRA complaint against brokers like PHILIP L EVANS?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by PHILIP L EVANS’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

See also  ANNA HUIPING LI at CITIGROUP GLOBAL MARKETS INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

 
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.


Frequently Asked Questions About PHILIP L EVANS

What is PHILIP EVANS's Central Registration Depository (CRD) Number?

1647769

Which firm is PHILIP L EVANS associated with?

RAYMOND JAMES & ASSOCIATES, INC.

Where is PHILIP EVANS located?

5847 SAN FELIPE STREET, HOUSTON, TX, 77057

Where can I find more details about PHILIP EVANS's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/705 to read a detailed report for RAYMOND JAMES & ASSOCIATES, INC.

Are there any disclosures, allegations or complaints filed against PHILIP L EVANS?

Yes. There are disclosures, allegations, or complaints filed against PHILIP L EVANS. Click here to view all details

Where can I download a detailed FINRA report for PHILIP EVANS?

Click here to download a detailed FINRA report for PHILIP EVANS

Is it safe to do business with PHILIP L EVANS?

We’re not sure. Please research PHILIP EVANS’s disclosures, allegations and complaints before taking a decision

See also  DUANE RONALD RAYBURN at SA STONE WEALTH MANAGEMENT INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Report Inaccuracy
Disclaimer

All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.



 

Share your experience with this broker

Leave a reply

Broker Audit
Logo
Register New Account