InvestmentNews on LinkedIn: Raymond James has agreed to pay …

InvestmentNews On LinkedIn: Raymond James Has Agreed To Pay …

3 weeks from now

Raymond James has agreed to pay over $1.8 million in fines and restitution following allegations of supervision failures. The firm reportedly failed to…

linkedin.com

Raymond James Agrees To Pay $15 Million To Settle SEC Investigation

3 weeks from now

As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on …

finraarbitrationattorney.com

Raymond James, Baird To Pay $850,000 For SEC Wrap-fee Violations

3 weeks from now

Sep 8, 2016  · Raymond James agreed to pay a $600,000 penalty and Baird $250,000 to settle the SEC's charges. Scrutinizing wrap-fees has been an area of focus under the SEC's national …

investmentnews.com

Raymond James To Pay $15 Million Over Improper Charges To Clients

3 weeks from now

Sep 17, 2019  · To settle the charges, the three Raymond James entities, which included Raymond James Financial Services Inc., agreed to be censured and to disgorge …

investmentnews.com

Finra Orders Merrill Lynch, Raymond James To Pay $12

3 weeks from now

Nov 6, 2019  · In an agreement with the Financial Industry Regulatory Authority Inc., Merrill Lynch, Pierce, Fenner & Smith and the employee and independent broker-dealers of Raymond …

investmentnews.com

InvestmentNews On LinkedIn: Raymond James Fined $4.2M For …

3 weeks from now

Six states ordered Raymond James to pay $4.2 million in fines and penalties and return $8.25 million to retail customers who were charged excessive commissions for small-dollar trades.

linkedin.com

Raymond James, Baird To Pay $850,000 For SEC Wrap-fee Violations

3 weeks from now

Sep 8, 2016  · Raymond James agreed to pay a $600,000 penalty and Baird $250,000 to settle the SEC’s charges. Scrutinizing wrap-fees has been an area of focus under the SEC’s national …

investmentnews.com

InvestmentNews On LinkedIn: Oregon Orders Raymond James To …

3 weeks from now

The state of Oregon has ordered Raymond James to pay nearly $200,000 following a comprehensive investigation into overcharging practices that affected retail investors.

linkedin.com

Raymond James To Pay $15 Million For Improperly Charging …

3 weeks from now

Sep 17, 2019  · Financial services firm Raymond James & Associates, a unit of Raymond James Financial Inc , has agreed to pay $15 million to settle charges it improperly charged advisory …

reuters.com

Baird Wins $4.6 Million Raiding Claim Against Raymond James

3 weeks from now

Dec 17, 2024  · According to the arbitration award, Raymond James is to pay $2.8 million in compensatory damages for violating Finra’s fair practice rules, close to $1.4 million in …

investmentnews.com

Lance A. Browning, RICP®, AIF® On LinkedIn: Raymond James To …

3 weeks from now

BREAKING: A group of state regulators has ordered Raymond James Financial Services Inc. to return $8.25 million to clients who were charged unreasonably high fees.

linkedin.com

Patrick Mahoney On LinkedIn: Raymond James, Rep Ordered To Pay …

3 weeks from now

Raymond James ordered to pay almost $20 million to Wells Fargo in an unfair competition case, of which one broker was ordered to pay more than $4.3 million in attorneys’ fees and costs.

linkedin.com

Raymond James Settles Vermont Ski Resort Claims For $150 Million

3 weeks from now

Apr 14, 2017  · The firm agreed to pay $4.5 million to a federal receiver that will return money to foreign investors who backed the projects, as well as pay $1.25 million to Vermont's general …

investmentnews.com

Raymond James To Pay $172M For Scout Investments

3 weeks from now

Apr 20, 2017  · Raymond James Financial Inc. has agreed to buy Scout Investments and its Reams Asset Management division from UMB Financial Corp. for $172.5 million in cash. …

investmentnews.com