NASAA Announces $13 Million Settlement With Raymond James

NASAA Announces $13 Million Settlement With Raymond James

3 weeks from now

Multi-State Working Group Finds Firm Overcharged Customers. WASHINGTON, D.C. – (July 11, 2023) – The North American Securities Administrators Association (NASAA) has announced a $13 million settlement with Raymond James & Associates, Inc. and Raymond James Financial …

nasaa.org

Commissioner Downing Announces $13 Million Settlement …

3 weeks from now

Jul 18, 2023  · Helena, Mont.-Today, State Auditor and Securities Commissioner Troy Downing announced a $13 million settlement with Raymond James & Associates, Inc. and Raymond …

csimt.gov

Raymond James To Pay $13 Million For Unreasonable Fees

3 weeks from now

Raymond James Financial will pay roughly $13 million to settle allegations that it overcharged retail investors on small dollar transactions, a group of state securities regulators announced …

barrons.com

Arkansas Securities Department Joins $13 Million Multi-state …

3 weeks from now

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

Raymond James Settles Oregon Allegations That It Overcharged Clients - MSN

3 weeks from now

Last July, Raymond James agreed to pay $13 million to settle the overcharge allegations with a consortium of states that alleged the company had errantly collected $8.25 million in excessive ...

msn.com

DFR Joins NASAA Multi-State Settlement

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Nov 7, 2023  · Raymond James is a broker-dealer registered in Vermont and domiciled in St. Petersburg, Florida. The firm will pay at least $8.2 million in refunds to clients and $4.2 million …

vermont.gov

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

3 weeks from now

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

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 Luminaries Podcasts Videos ...

thinkadvisor.com

Current Headlines Archives - Page 3 Of 118 - NASAA

3 weeks from now

Aug 30, 2023  · NASAA Announces $13 Million Settlement With Raymond James NASAA has announced a $4.2 million settlement with Raymond James & Associates, Inc. and Raymond …

nasaa.org

NASAA On Twitter: "Correction Notice: NASAA Has Announced A …

3 weeks from now

Jul 11, 2023  · “Correction Notice: NASAA has announced a $13 million settlement with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Details: https ...

twitter.com

Raymond James Agrees To Settle Overcharging Case - Financial …

3 weeks from now

Jul 11, 2023  · NASAA and the state regulators' settlement calls on Raymond James to pay back the $8.25 million it overcharged customers plus 6% interest. Clients in Massachusetts will be …

financial-planning.com

California Joins Multi-State $12.4 Million Settlement With …

3 weeks from now

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

NASAA On LinkedIn: NASAA Has Announced A $13 Million …

3 weeks from now

NASAA has announced a $13 million settlement with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Details: https://lnkd.in/exbv7Zqi

linkedin.com

Texas Investors To Receive $625,000 Refund Of Unreasonable …

3 weeks from now

The settlement comes as the result of an investigation into the company’s practices of charging unreasonable commissions to retail investors on small dollar transactions. Specifically, during the past five years, Raymond James overcharged investors by $8.25 million across 270,000 equity transactions nationwide.

texas.gov

DFR Joins NASAA Multi-state Settlement With Raymond James

3 weeks from now

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

Montanans To Share Payout After Raymond James Settlement - KECI

3 weeks from now

Jul 19, 2023  · Today, State Auditor and Securities Commissioner Troy Downing announced a $13 million settlement with Raymond James & Associates, Inc. and Raymond James Financial …

nbcmontana.com

Edward Jones To Pay US$17 Million In NASAA Settlement

3 weeks from now

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