SCOTT ALAN WEINGARDEN at RAYMOND JAMES & ASSOCIATES, INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 2967038
SCOTT ALAN WEINGARDEN is an Investment Adviser, associated with RAYMOND JAMES & ASSOCIATES, INC. located at CORAL GABLES, FL. SCOTT WEINGARDEN’s Central Registration Depository (CRD) number is 2967038 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for SCOTT WEINGARDEN

    • Event Date: 12/4/2009
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: CLAIMANT ALLEGES MISREPRESENTATION AND UNSUITABILITY, NEGLIGENCE, VIOLATION OF INDUSTRY STANDARDS, OMISSION OF MATERIAL FACTS, BREACH OF CONTRACT & VIOLATIONS OF SECTION 517.301.
    • Settlement Amount: $4,716,793.21
    • Arbitration Docket Number:
    • Broker Comment: UNFORTUNATELY, A HISTORIC DISLOCATION IN THE CREDIT MARKETS IN 2008 CAUSED THE AUCTION RATE SECURITY (ARS) MARKET (WHICH PREVIOUSLY WAS AN EFFICIENT AND LOW COST MEANS TO RECEIVE SHORT TERM INTEREST) TO FREEZE. CLIENT WHO HELD ARS WERE NOT ABLE TO REDEEM THEIR FUNDS. RAYMOND JAMES MADE A FIRM WIDE SETTLEMENT IN 2011 TO PURCHASE ALL OUTSTANDING CLIENT ARS AT PAR VALUE (FULL FACE VALUE). CLIENTS, AS A RESULT OF THIS PURCHASE, RECEIVED THEIR ENTIRE INVESTMENT PLUS INTEREST WHICH WAS THE FULL AMOUNT OF THE SETTLEMENT AS THERE WERE NO DAMAGES.
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Should I file a FINRA complaint against brokers like SCOTT ALAN WEINGARDEN?

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 SCOTT ALAN WEINGARDEN’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!

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Frequently Asked Questions About SCOTT ALAN WEINGARDEN

What is SCOTT WEINGARDEN's Central Registration Depository (CRD) Number?

2967038

Which firm is SCOTT ALAN WEINGARDEN associated with?

RAYMOND JAMES & ASSOCIATES, INC.

Where is SCOTT WEINGARDEN located?

2333 PONCE DE LEON BLVD., CORAL GABLES, FL, 33134

Where can I find more details about SCOTT WEINGARDEN'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 SCOTT ALAN WEINGARDEN?

Yes. There are disclosures, allegations, or complaints filed against SCOTT ALAN WEINGARDEN. Click here to view all details

Where can I download a detailed FINRA report for SCOTT WEINGARDEN?

Click here to download a detailed FINRA report for SCOTT WEINGARDEN

Is it safe to do business with SCOTT ALAN WEINGARDEN?

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

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