According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Richard Sampley was accused of participating in four private securities transactions without providing written notice to his firm, Raymond James. This is against securities laws. Sampley allegedly solicited customers to invest in BE, an early stage renewable energy company. In return for these transactions, Sampley received a fee from BE. The transactions occurred in November 2013. For this, he was suspended from the industry for 10 months and fined $15,000.
Sampley was registered with Dupont Walston Inc., EF Hutton & Company, Dean Witter Reynolds, UBS, Morgan Keegan and Raymond James in Atlanta, Georgia from February 2013 until November 2014. He has one customer dispute against him, according to his online FINRA BrokerCheck report. Please call our Chicago-based securities law firm today for a free consultation to find out how you may be able to bring a claim against Raymond James in the FINRA arbitration forum for not properly supervising Mr. Sampley. We take cases on a contingency fee basis only.