Raymond James agrees to $1.8M in Finra fines over
Sep 3, 2024 · Raymond James is settling with Finra for more than $1.8 million over alleged failures to supervise reporting of customer complaints and monitor 4.7 million mutual fund …
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Raymond James Agrees To $1.8M In Finra Fines Over
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Sep 3, 2024 · Raymond James is settling with Finra for more than $1.8 million over alleged failures to supervise reporting of customer complaints and monitor 4.7 million mutual fund …
investmentnews.com
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Raymond James Financial Settles Allegations Of Inadequate …
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Sep 4, 2024 · Raymond James Financial has agreed to pay over $1.9 million to settle allegations of inadequate record-keeping tied to customer complaints. ... Raymond James will pay more …
thewealthadvisor.com
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Raymond James Fined Over Mutual Fund Monitoring
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Sep 3, 2024 · FINRA fined two of the firm’s subsidiaries a total of $1.8 million for allegations of failing to properly review mutual fund purchases and reporting customer complaints. ...
planadviser.com
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Finra Fines Raymond James $300K For Faulty Trade Confirmations
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Jan 31, 2023 · Raymond James & Associates Inc. has settled Finra charges that it sent clients at least 1.85 million inaccurate trade confirmations over an eight-year period, the regulator …
fa-mag.com
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Raymond James To Pay $1.9M Over Failing To Supervise Mutual …
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Aug 30, 2024 · Raymond James & Associates (RJA) and its subsidiary agreed to pay more than $1.9 million to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) …
complianceweek.com
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Raymond James & Associates Fined Over $1.9 Million For Failing To ...
2 weeks from now
Sep 2, 2024 · Raymond James & Associates (RJA) and its subsidiary have agreed to pay over $1.9 million to settle allegations from the Financial Industry Regulatory Authority (FINRA) that …
flexi-news.com
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Raymond James Penalized For Allegedly Failing To Record …
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Raymond James Financial has agreed to pay more than $1.9 million to resolve allegations of faulty record-keeping related to customer complaints and mutual fund purchases. Barron's …
barrons.com
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FINRA Fines Raymond James Nearly $2M For Not Reporting …
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Sep 3, 2024 · FINRA's settlement includes a $525,000 fine and $26,169 in restitution for Raymond James & Associates, the firm's division with 8,200 direct-employee advisors on its …
financial-planning.com
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Raymond James To Pay Nearly $2M For Failure To Report …
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Sep 3, 2024 · Raymond James failed to reasonably supervise the timely reporting of customer complaints, FINRA finds. RJFS also failed to reasonably supervise at least 4.7 million mutual …
thinkadvisor.com
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Another Five Firms Ordered To Pay $18M For Mutual Fund Overcharges
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Oct 20, 2015 · Three months ago Finra ordered Wells Fargo Advisors, Raymond James and LPL Financial to pay a combined $30 million for the same type of violations. Wells Fargo later …
investmentnews.com
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Finra Smacks Raymond James With $1.15 Million Penalty Over …
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Oct 21, 2022 · Raymond James Financial Services overlooked 'multiple red flags' related to the activities of two brokers, according to Finra. ... The two Raymond James firms agreed to …
investmentnews.com
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SEC.gov | Twenty-Six Firms To Pay More Than $390 Million …
2 weeks from now
Aug 14, 2024 · Edward D. Jones & Co., L.P. agreed to pay a $50 million penalty; LPL Financial LLC agreed to pay a $50 million penalty; Raymond James & Associates, Inc. agreed to pay a …
sec.gov
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Brokers To Pay $17 Million For AML Failures | Bankers Online
2 weeks from now
May 18, 2016 · The Financial Industry Regulatory Authority (FINRA) has announced it has fined Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. …
bankersonline.com
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SEC Orders 26 Firms To Pay $393 Million In Latest Wave Of Texting …
2 weeks from now
Aug 14, 2024 · Raymond James & Associates agreed to a $50 million penalty. RBC Capital Markets agreed to a $45 million penalty. TD Securities (USA), together with TD Private Client …
advisorhub.com
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FINRA Fines Raymond James $17 Million For Violating Anti-money ...
2 weeks from now
May 18, 2016 · Wall Street's industry-funded watchdog has fined Raymond James Financial Inc $17 million for widespread failures in anti-money laundering compliance, the regulator said on …
reuters.com
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