DFR Joins NASAA Multi-State Settlement - Vermont

DFR Joins NASAA Multi-state Settlement With Raymond James

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Nov 7, 2023  · Raymond James to pay more than $12M in restitution and penalties. Vermont Business Magazine The Vermont Department of Financial Regulation (DFR) has joined a …

vermontbiz.com

NASAA Announces $13 Million Settlement With Raymond James

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Multi-State Working Group Finds Firm Overcharged Customers WASHINGTON, D.C. – (July 11, 2023) – The North American Securities Administrators Association (NASAA) has announced a …

nasaa.org

Press Release | Department Of Financial Regulation - Vermont

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Oct 10, 2024  · Read more about Vermont Joins $1.5 Million Multistate Securities Settlement Against Crypto Platform, TradeStation

vermont.gov

Raymond James To Pay $12.4M To Settle Allegations It …

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Jul 11, 2023  · Raymond James & Associates will pay a total of $12.4 million to settle charges stemming from a multistate investigation that found that it systemically overcharged low …

fa-mag.com

California Joins Multi-State $12.4 Million Settlement With …

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Jul 23, 2023  · The settlement stems from a North American Securities Administrators Association (NASAA) investigation spearheaded by state securities regulators from Alabama, California, …

ca.gov

$200K Penalties, Restitution For Overcharging Commissions To …

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Feb 5, 2024  · By Oregon Department of Consumer and Business Services Press Release, Salem – Oregon’s Division of Financial Regulation (DFR) joined a multi-state settlement alleging that …

oregonbusinessreport.com

Raymond James To Pay Nearly $200,000 For Overcharging Oregon …

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Feb 2, 2024  · As part of the settlement, Raymond James will pay restitution and interest of $109,349.94 directly to the affected Oregon investors and a $75,000 civil penalty to the State …

insurancenewsnet.com

DFR Joins $17 Million NASAA Multi-state Settlement Against …

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Jan 9, 2024  · Multi-State Working Group Finds Supervisory Failures Concerning Class A Mutual Fund Shares Vermont Business Magazine The Vermont Department of Financial Regulation …

vermontbiz.com

Is Raymond James In Trouble With Unreasonable Commissions?

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May 7, 2024  · The National Association of State Securities Administrator s (NASAA) also announced a $13 million settlement with Raymond James for similar allegations and they …

investmentfraudlawyers.com

Securities | Department Of Financial Regulation - Dfr.vermont.gov

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Nov 7, 2023  · Raymond James to pay more than $12M in restitution and penalties.

vermont.gov

Edward Jones To Pay US$17 Million In NASAA Settlement

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Jan 9, 2025  · The umbrella group of U.S. state and Canadian provincial regulators, the North American Securities Administrators Association (NASAA), announced a US$17-million …

investmentexecutive.com

Press Release | Department Of Financial Regulation - Dfr.vermont.gov

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Oct 17, 2022  · Raymond James to pay more than $12M in restitution and penalties.

vermont.gov

Oregon Joins $17 Million Multistate Enforcement Settlement With …

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Jan 9, 2025  · Salem – The Oregon Division of Financial Regulation (DFR), a member of the North American Securities Administrators Association (NASAA), has joined a $17 million settlement …

southernoregonbusiness.com