Massachusetts fines Raymond James for charging ‘unreasonably …
Jul 11, 2023 · William F. Galvin, the Secretary of the Commonwealth of Massachusetts, ordered Raymond James Financial Services, Inc. RJF to return $8.25 million plus interest to customers …
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Massachusetts Fines Raymond James For Charging ‘unreasonably …
3 weeks from now
Jul 11, 2023 · William F. Galvin, the Secretary of the Commonwealth of Massachusetts, ordered Raymond James Financial Services, Inc. RJF to return $8.25 million plus interest to customers …
marketwatch.com
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Raymond James To Pay Nearly $12.5 Million For ‘Nickel-and …
3 weeks from now
Jul 11, 2023 · The release estimated that Massachusetts-based clients of Raymond James would be netting more than $185,000, plus 6% interest and the state would receive $100,000 in fine …
advisorhub.com
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Six States Impose $4.2M Fine On Raymond James For Excessive Fees
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Jul 11, 2023 · 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 …
investmentnews.com
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Raymond James To Pay $13M Over High Fees - ThinkAdvisor
3 weeks from now
Jul 11, 2023 · The firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients. Raymond James to Pay $13M Over High Fees Tax Facts …
thinkadvisor.com
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Raymond James Settles Charges Of High Fees For $12M
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Jul 27, 2023 · Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. have been ordered to “return $8.25 million, plus interest, to customers who were charged …
ftfnews.com
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Some MA Residents May Get Piece Of Raymond James Settlement
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Jul 19, 2023 · MASSACHUSETTS — Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. have been ordered to return $8.25 million plus interest to customers …
patch.com
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Massachusetts Fines Raymond James For Charging ‘unreasonably …
3 weeks from now
Jul 12, 2023 · William F. Galvin, the Secretary of the Commonwealth of Massachusetts, ordered Raymond James Financial Services, Inc. RJF, +1.13% to return Massachusetts fines …
themarketscafe.com
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Raymond James To Pay $13 Million For Unreasonable Fees
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Raymond James to Pay $13 Million for Unreasonable Fees, Regulators Say. The company charged excessive commissions on over 270,000 equity transactions and trades, resulting in …
barrons.com
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NASAA Announces $13 Million Settlement With Raymond James
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The investigation was led by state securities regulators in Alabama, California, Illinois, Massachusetts, Montana, and Washington and found that Raymond James charged …
nasaa.org
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Raymond James Retains Most Of Concurrent Advisors' Assets …
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Jul 27, 2023 · Earlier this month, Massachusetts state regulators ordered Raymond James to pay over $12 million for charging “unreasonably high fees.” Raymond James’ advisor roster, …
advisorhub.com
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Massachusetts Fines Raymond James For Charging ‘unreasonably …
3 weeks from now
Jul 11, 2023 · He also ordered Raymond James to pay $4.2 million in fines and penalties to the six states involved in the probe of the financial firm. Galvin, the Secretary of the …
headtopics.com
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Raymond James Agrees To Pay $15 Million For Improperly …
3 weeks from now
The order charges Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc., with violating Sections 206(2) and 206(4) of the Investment Advisers Act of …
sec.gov
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Raymond James Fined $1.9-Mln For Delayed Customer
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Aug 30, 2024 · Finra imposed a $525,000 fine on Raymond James’ employee channel and required it to pay more than $26,000 plus interest in restitution. The independent channel was …
advisorhub.com
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Raymond James Will Pay $15M To Settle Hidden Fees Case - Top …
3 weeks from now
Jun 24, 2019 · The Raymond James Hidden Fees Class Action Lawsuits are Brink et al. v. Raymond James & Associates Inc., Case No. 0:15-cv-60334, and Wistar et al. v. Raymond …
topclassactions.com
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Raymond James Fined $15M For Charging Fee On Inactive Accounts
3 weeks from now
Sep 18, 2019 · Shares of Raymond James have gained 16% so far this year, outperforming 12.7% growth recorded by the industry. Story Continues Currently, the stock carries a Zacks …
yahoo.com
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