SEC.gov | SEC Charges Broker-Dealer with Failure to Supervise ...

September 22, 2022- The Securities and Exchange Commission today announced settled charges against Raymond James & Associates, Inc., a registered broker-dealer, for failing to …

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Raymond James Penalized $500K For Ex-Broker's Theft From …

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Sep 23, 2022 · Raymond James & Associates, Inc. has agreed to pay a civil penalty of $500,000 for failing to supervise a former broker who stole more than $920,000 from two elderly clients, …

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Raymond James & Associates Fined Over $1.9 Million For Failing To ...

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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 …

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Raymond James To Pay $500K For Failure To Supervise

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Oct 10, 2022 · According to the Securities and Exchange Commission on September 22, 2022, the agency reportedly ordered Raymond James & Associates to pay a penalty of $500,000 for …

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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 …

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Raymond James Faces $1.9M Fine For Oversight Failures

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Aug 31, 2024 · Improper supervision: The firms failed to properly supervise mutual fund purchases made by their registered representatives directly with mutual fund providers. …

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Holding The Broker-dealer Liable: Failure To Supervise

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In one case, the Securities and Exchange Commission charged Raymond James & Associates, Inc. with failure to supervise a broker who stole over $900,000 from two elderly customers …

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Raymond James Fined $2 Million For Failing To Supervise E-mail ...

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Jan 5, 2018 · FINRA fined Raymond James $2 million after finding that a flawed e-mail review system allowed millions of e-mails to evade adequate review, creating "unreasonable risk" that …

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Raymond James Fined $400,000 For Failure To Supervise

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Raymond James Financial Services agreed to pay a $400,000 fine for failure to supervise Jerry Rose who used accounts to operate a Ponzi scheme.

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FAQs about SEC.gov | SEC Charges Broker-Dealer with Failure to Supervise ... Coupon?

Did Raymond James & associates fail to comply with FINRA Rule 4530?

According to a letter of acceptance, waiver, and consent the firm signed Aug. 29, Raymond James & Associates and Raymond James Financial Services “failed to reasonably supervise the firms’ reporting, and timely reporting, of customer complaints via Finra Rule 4530 filings and amendments to registered representatives’ Forms U4 and U5.” ...

Why did Raymond James settle with FINRA?

Some customer complaints went unreported, and many mutual fund purchases were not reviewed, according to the self-regulatory organization. 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 purchases between 2012 and 2017. ...

Who was suspended from police in North Plainfield & South Bound Brook?

North Plainfield Police: Mikeedwar Jean-Baptiste, terminated, for statutory official misconduct. Somerset County Sheriff: Raymond Thompson, suspended for 25 days for violation of sick leave policy. South Bound Brook Police; Richard Meinsen, suspended 19 days (228 hours of comp time), for misuse of departmental computers. ...