Meredith Webber: FINRA Files Complaint Against Raymond James Advisor

Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry Regulatory Authority records show that she has previously been registered as a broker with Raymond James Financial Services and Ameriprise Financial Services.

A complaint released by FINRA’s Department of Enforcement (No. 2024082788802) describes the regulator’s allegations against Ms. Webber. As it summarizes, she failed to respond to requests for information made by FINRA during its “investigation into whether Webber misappropriated funds from two elderly customers.” Her failure constituted a violation of two FINRA rules, according to the complaint: Rule 8210, which gives FINRA the right to require that persons under its jurisdiction provide information connected to its investigations, while prohibiting such persons from refusing such requests; and Rule 2010, which requires brokers to observe high standards of commercial honor and just and equitable principles of trade. FINRA is seeking sanctions, including monetary sanctions, in the pending complaint.

Ms. Webber’s BrokerCheck report discloses her termination from Raymond James Financial Services. Filed in July 2024, the disclosure states that the firm fired her in connection with allegations that she “failed to follow firm procedures and FINRA Rule 3240 with respect to receipt of loan from customer.”

Ms. Webber’s LinkedIn profile includes a section describing her experience and approach to working with her clients. “Her primary goal is to discover her client’s values and help them align their financial futures based on their value system,” it explains. “Meredith provides the necessary guidance, advice, and ongoing support to help clients reach their goals. She believes it’s also essential to understand how the economy, investments, and the market will affect a client’s decision-making process.”

According to the Financial Industry Regulatory Authority, Meredith Webber holds 26 years of securities industry experience. Most recently based in Cobleskill, New York, she was registered with Raymond James Financial Services from 2022 until 2024. Her past registrations include Ameriprise Financial Services, Thrivent Investment Management, Morgan Stanley DW, UBS Painewebber, Ferris Baker Watts, and AG Edwards & Sons. Her credentials include the passage of eight securities industry qualifying exams: the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the General Securities Principal Examination, or Series 24; the Uniform Combined State Law Examination, or Series 66; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63.. (Information current as of April 24, 2025.)

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