Investigation Into Mark A. Bullivant and Raymond James

The Financial Industry Regulatory Authority (FINRA) recently barred Mark A. Bullivant from the securities industry after he allegedly failed to respond to the investigation against him. FINRA was investigating him for stealing funds from clients and converting that money. Bullivant was a registered representative with Morgan Stanley in Purchase, New York from October 2001 until April 2005, Chase Investment Services in Chicago, Illinois from July 2005 until July 2005, Ameriprise Advisor Services in Fort Myers, Florida from July 2005 until October 2009, and Raymond James & Associates, also in Ft. Myers from April 2012 until December 2013. He has two customer disputes against him, and has been permanently barred from the industry. You may sue Raymond James & Associates, his former firm, for investment losses you may have suffered with Mark A. Bullivant. They had a duty to reasonably supervise him while he worked for them. 312-332-4200.

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