Bill Conn Fired from Raymond James & Associates Following Alleged Breaches of Firm Policy
Bill Conn (CRD #: 1477107), a broker registered with International Assets Advisory, was fired from his previous firm, according to his BrokerCheck record, accessed on September 18, 2022. Keep reading to learn more about Bill Conn’s conduct as a broker.
Discharge from Raymond James & Associates
On July 7, 2022, Bill Conn was fired from Raymond James & Associates after he allegedly failed to follow firm policies involving use of discretion, payments made to a client, and a potential unreported outside business activity.
FINRA Rule 3260
FINRA Rule 3270
FINRA Rule 3270 requires brokers to receive approval from their firm before participating in business activities outside their firm.
Other business activities
Bill Conn’s detailed BrokerCheck report lists the following outside businesses:
- San Francisco Fly Casting Club Board Member
- Residential Rental Propertly
- International Assets Investment Management
- W.J. Capital Corp – Private Label Entity for Financial Business
On September 29, 2020, an investor filed a dispute naming Bill Conn in allegations involving unsuitable investments and the mismanagement of their accounts between May 8, 2018, and August 31, 2020. The client sought $2 million in damages and received a settlement of $525,000.
FINRA Rule 2111
FINRA Rule 2111 requires brokers to take investors’ profiles into account when recommending investments. An investor’s profile describes their age, risk tolerance, financial goals, and other information.
Investors who rely on brokers for investment recommendations may be able to recover their funds by seeking out FINRA arbitration.
Bill Conn has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 3 – National Commodity Futures Examination
- Series 7 – General Securities Representative Examination
Bill Conn is a registered broker and a registered investment adviser in California.
He has also worked for the following firms:
- Raymond James & Associates (CRD#:705)
- J.P. Morgan Securities (CRD#:79)
- Deutsche Bank Securities (CRD#:2525)
- DB Alex. Brown (CRD#:17790)
- Salomon Smith Barney (CRD#:7059)
- PaineWebber (CRD#:8174)
- Gliksman Securities Corporation (CRD#:8225)
Kurta Law Can Help
If you worked with Bill Conn and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.