DID WILLIAM STEVEN COOKE CAUSE YOU INVESTMENT LOSSES?
William Cooke was recently fired from Raymond James Financial Services, Inc. for allegedly entering unauthorized trades in his spouse’s IRA account and signing her name on documents without authorization
Who is William Cooke formerly with Raymond James Financial Services, Inc.?
William Cooke (CRD #2107758) who was formerly registered as a broker with Raymond James Financial Services, Inc. and located in Harrisburg, North Carolina, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
William Cooke Employment History and Termination
William Steven Cooke has been active in the securities industry since 1991, working for well-established firms in the industry, including Raymond James Financial Services and Wells Fargo Clearing Services and Edward Jones. He has passed five industry exams, including the Series 6, Series 7, Series 63, and Series 66 exams.
On December 4, 2024, Mr. Cooke was terminated from Raymond James Financial Services after allegations surfaced that he had entered two unauthorized trades in his spouse’s IRA account and signed her name on documents to move funds into a joint account.
He is not currently registered with any securities firm.
Negative Disclosures Summary
William Steven Cooke has two disclosures, including a customer dispute and a termination:
- Customer Dispute:
- Complaint December 28, 2024: Filed by Mr. Cooke’s spouse, the dispute alleges excessive trading, two unauthorized trades, and forgery of her signature on documents related to her IRA.
- Product Type: Options.
- Alleged Damages: $72,156.06.
- Status: Pending
- Employment Termination:
- Firm: Raymond James Financial Services, Inc.
- Date: December 4, 2024.
- Details: Unauthorized trades in his spouse’s IRA and forgery of her signature on documents to move cash to a joint account.
- Outcome: Discharged; sums repaid.
Allegations and Accusations
The report indicates unauthorized trading and forgery of signatures on financial documents. These actions led to his termination from Raymond James Financial Services, Inc. and a pending customer dispute involving damages exceeding $72,000.
William Cooke Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of William Cooke is a red flag which should put all current and former customers of William Cooke at Raymond James Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Cooke engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Raymond James Financial Services, Inc. Due To William Cooke
If you have questions about Raymond James Financial Services, Inc. and/or William Cooke and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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