Raymond James agrees to settle overcharging case - Financial …
Jul 11, 2023 · Two Raymond James-affiliated brokerages have agreed to return at least $8.25 million in commissions and pay more than $4 million to settle allegations that they overcharged …
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Raymond James Agrees To Settle Overcharging Case - Financial …
2 weeks from now
Jul 11, 2023 · Two Raymond James-affiliated brokerages have agreed to return at least $8.25 million in commissions and pay more than $4 million to settle allegations that they overcharged …
financial-planning.com
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SEC.gov | Raymond James Agrees To Pay $15 Million For …
2 weeks from now
Sep 17, 2019 · Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors ... James’ failures cost their advisory clients and brokerage customers millions that …
sec.gov
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Raymond James To Pay $12.4M To Settle Allegations It …
2 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
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Raymond James Agrees To Pay $1.15M Penalty For Supervisory …
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Oct 24, 2022 · Raymond James has agreed to pay $1.15 million to settle charges of supervisory failures of its two brokerage units that in one case led to a commission scheme by father-son …
fa-mag.com
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Raymond James Will Pay $15M To Settle Hidden Fees Class Action
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Jun 14, 2019 · Under the terms of the $15 million Raymond James class action settlement, the bank has agreed to also modify language to more clearly disclose fees associated with the …
topclassactions.com
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Raymond James Agrees To Settle Overcharging Case
2 weeks from now
Two Raymond James-affiliated brokerages have agreed to return at least $8.25 million in commissions and pay more than $4 million Raymond James agrees to settle overcharging …
theadvisermagazine.com
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Raymond James To Pay $13 Million For Unreasonable Fees
2 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
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Raymond James Settles SEC Case On UITs For $15M - Financial …
2 weeks from now
Sep 18, 2019 · The latest case came after Raymond James settled two client overcharging lawsuits in June for $15 million and agreed to pay disgorgement of $6.9 million in March under …
financial-planning.com
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Raymond James Settles With SEC For Overcharging Clients
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Sep 17, 2019 · Raymond James has agreed to pay $15 million in disgorgement and penalties to the Securities and Exchange Commission, which claims the brokerage improperly charged …
wealthmanagement.com
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Montanans To Share Payout After Raymond James Settlement
2 weeks from now
Jul 20, 2023 · HELENA, Mont. — Hundreds of Montanans will see money from a multimillion-dollar settlement with a major finance company. The $13 million agreement with Raymond …
csimt.gov
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Raymond James Agrees To Pay $15 Million To Settle SEC Investigation
2 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
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Raymond James To Pay $15M To Settle Hidden-Fee Claims
2 weeks from now
Raymond James To Pay $15M To Settle Hidden-Fee Claims By Hannah Albarazi Law360 (June 12, 2019, 4:27 PM EDT) -- Raymond James Financial ... Raymond James also agreed to …
finralawyer.org
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Raymond James To Pay $15M For Improper Advisory Fees And …
2 weeks from now
Oct 3, 2019 · Three Raymond James entities — Raymond James & Associates, Inc., Raymond James Financial Services Advisors, Inc., and Raymond James Financial Services, Inc. (RJF) …
investorlawyers.com
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Raymond James Will Pay $15M To Settle Hidden Fees Case - Top …
2 weeks from now
Jun 24, 2019 · In a proposed settlement deal, Raymond James Financial has agreed to pay $15 million to settle claims that the company charged customers unauthorized, hidden fees. Some …
topclassactions.com
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NASAA Announces $13 Million Settlement With Raymond James
2 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 …
nasaa.org
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Raymond James Lawsuit Alleges Overcharges - The White Law …
2 weeks from now
Jun 19, 2019 · According to reports this week, Raymond James has agreed to pay $15 million to settle two consolidated lawsuits that accused the firm of overcharging its clients in “passport” …
whitesecuritieslaw.com
FAQs about Raymond James agrees to settle overcharging case - Financial … Coupon?
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