ACC Joins Other States in $12.4 Million Settlement with Raymond …
Dec 6, 2024 · Phoenix, Ariz. - The Arizona Corporation Commission announced it has joined a multi-state settlement with two financial services firms of Raymond James, which will pay $136,168 in restitution to investors and a $75,000 administrative penalty for failing to supervise …
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ACC Joins Other States In $12.4 Million Settlement With Raymond …
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Dec 6, 2024 · Phoenix, Ariz. - The Arizona Corporation Commission announced it has joined a multi-state settlement with two financial services firms of Raymond James, which will pay $136,168 in restitution to investors and a $75,000 administrative penalty for failing to supervise …
azcc.gov
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WA DFI Joins $12.4 Million Settlement With Raymond James For …
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Jul 11, 2023 · OLYMPIA – The Washington State Department of Financial Institutions (DFI) announced today that it has joined a multi-state settlement with Raymond James & …
wa.gov
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Alabama Joins Multiple States In $12.4 Million Settlement With …
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Nov 7, 2023 · today that it has joined a multi-state settlement with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively, Raymond James), which will …
alabama.gov
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Securities News | Arizona Corporation Commission - Prod 15.1
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Oct 10, 2024 · ACC Joins Other States in $12.4 Million Settlement with Raymond James for Excessive Commissions. Nov 12, 2024 ... 2024 ACC Finds Scottsdale Adviser Fraudulently …
azcc.gov
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Michigan Joins $12.4 Million Multistate Settlement With Raymond …
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Oct 18, 2023 · The firms will pay at least $8.2 million in refunds to clients and $4.2 million in penalties and costs to the states for charging unreasonable commissions on trades that …
michigan.gov
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AZ Investor News | Arizona Corporation Commission
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Oct 10, 2024 · ACC Joins Other States in $12.4 Million Settlement with Raymond James for Excessive Commissions. ... Nov 12, 2024 ACC Finds Mesa Man Defrauds Investors with …
azcc.gov
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California Joins Multi-State $12.4 Million Settlement With …
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Jul 23, 2023 · today it has joined a multi-state settlement with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively, Raymond James). The firms will …
ca.gov
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California Joins Multi-State $12.4 Million Settlement With Broker ...
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Jul 11, 2023 · Download this press release (PDF) SACRAMENTO ” The California Department of Financial Protection and Innovation (DFPI) announced today it has joined a multi-state …
ca.gov
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Giannoulias Announces Illinois To Receive Part Of $12.4 Million ...
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Jul 20, 2023 · Illinois Secretary of State Alexi Giannoulias announced today that Illinois is part of a $12.4 million settlement with Raymond James & Associates, Inc. and Raymond James …
ilsos.gov
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Alabama Joins Multiple States In $12.4 Million Settlement With …
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Alabama Joins Multiple States in $12.4 Million Settlement with Raymond James for Supervisory Failures July 11, 2023 February 9, 2024 cnoftz Click Here to read the full article.
alabama.gov
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Indiana Joins $12.4 Million Multistate Securities Settlement With ...
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Aug 1, 2023 · Office of Indiana Secretary of State Diego Morales 200 W. Washington St. Indianapolis, IN 46204 FOR IMMEDIATE RELEASE Tuesday, August 1, 2023 Indiana Joins …
in.gov
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Attorney General Alan Wilson Announces SC Joins Settlement With …
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Oct 26, 2023 · Nationwide, Raymond James will pay at least $8.2 million in refunds to clients and $4.2 million in penalties and costs to the states for failing to ensure reasonable commission …
scag.gov
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Arkansas Securities Department Joins $13 Million Multi-state …
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Oct 12, 2023 · Little Rock, Ark. (October 9, 2023) – The Arkansas Securities Department (ASD) has joined a $13 million multi-state settlement with Raymond James & Associates Inc. and …
arkansas.gov
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News Releases
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ACC Joins Other States in $12.4 Million Settlement with Raymond James for Excessive Commissions Dec 5, 2024 ACC Adopts Formula Rate Plan Policy Statement
azcc.gov
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What Does Clemson's Lawsuit Against The ACC Mean? Here Are 4 …
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ACC schools will receive about $7 million to $10 million less annually than those in the SEC and Big Ten. “Now,” says one ACC administrator, “combine that with the gap in TV revenue.”
msn.com
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