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Raeann Sarsfield Allegedly Misrepresented Certificates of Deposit

Raeann Sarsfield (CRD #: 5396491), a broker registered with Raymond James & Associates, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on September 1, 2025. Keep reading if you have questions regarding her alleged conduct. 

Investor Allegations 

On July 1, 2025, an investor alleged that Raeann Sarsfield misrepresented the rates of Certificates of Deposit in 2023. 

Misrepresentation 

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Raeann Sarsfield has registered with the following firms: 

  • Raymond James & Associates (CRD #: 705)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • MML Distributors (CRD #: 38030)
  • Hartford Securities Distribution Company (CRD #: 37819) 
  • Hartford Equity Sales Company Inc. (CRD #: 6604) 

She is a registered broker in 16 states and is a registered investment adviser in Texas. 

Kurta Law Can Help

If you worked with Raeann Sarsfield and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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 that 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. 

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