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FINRA Fines Ex-Raymond James Rep for Taking, Altering Client Info
News December 15, 2025 at 02:38 PM
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What You Need To Know
- Sam Nevels was suspended by FINRA for four months and ordered to pay $10,000.
- He sent over 30 unencrypted emails to his personal email address after starting negotiations with Piper Sandler, according to FINRA.
- Nevels also altered client contact data in Raymond James' contact management system, FINRA says.
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