SEC.gov | Raymond James Agrees to Pay $15 Million for …

SEC.gov | Raymond James Agrees To Pay $15 Million For …

2 weeks from now

Sep 17, 2019  · “Raymond James’ failures cost their advisory clients and brokerage customers millions that will be repaid as part of this settlement." The order charges Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc., with violating Sections …

sec.gov

Raymond James Entities Settle With SEC For $15 Million

2 weeks from now

Raymond James Financial has settled an order with the Securities and Exchange Commission over improperly charging fees and excess commissions and has agreed to pay the regulator …

wsj.com

$15 Million Settlement In SEC Order Against Raymond James

2 weeks from now

Oct 1, 2019  · According to a recent press release by the U.S. Securities and Exchange Commission (SEC), financial giant Raymond James & Associates, Inc. agreed to a $15 million …

levinlawpa.com

Raymond James To Pay $15 Million Over Improper Charges To Clients

2 weeks from now

Sep 17, 2019  · To settle the charges, the three Raymond James entities, which included Raymond James Financial Services Inc., agreed to be censured and to disgorge …

investmentnews.com

Raymond James Agrees To Pay $15 Million For Improperly …

2 weeks from now

Sep 17, 2019  · Washington, D.C.--(Newsfile Corp. - September 17, 2019) - The Securities and Exchange Commission today instituted a settled order against three Raymond James entities …

yahoo.com

Twenty-Six Firms To Pay More Than $390 Million Combined To …

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

Raymond James Fined $15M For Charging Fee On Inactive Accounts

2 weeks from now

Sep 18, 2019  · Raymond James’ failures cost their advisory clients and brokerage customers millions that will be repaid as part of this settlement.” Of the $15 million that the three entities …

yahoo.com

Raymond James To Pay $15 Million For Improperly Charging …

2 weeks from now

Sep 17, 2019  · Financial services firm Raymond James & Associates, a unit of Raymond James Financial Inc , has agreed to pay $15 million to settle charges it improperly charged advisory …

reuters.com

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

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

Raymond James Pays $15M To Settle SEC Charges - Bankers Online

2 weeks from now

The SEC has announced has issued a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess …

bankersonline.com

Raymond James To Pay $15M To SEC For Improper Charges

2 weeks from now

Sep 17, 2019  · To settle the charges, the three Raymond James entities agreed to be censured and to disgorge approximately $12 million representing inappropriate client advisory fees and …

thinkadvisor.com

Raymond James To Pay $15 Mln To Settle UIT, Fee Account Abuses

2 weeks from now

Sep 17, 2019  · The overall abuses occurred from at least January 2013 through May 2018, the SEC said in the cease-and-desist settlement order. Raymond James has fired several brokers …

advisorhub.com

Raymond James To Reaches $15 Million Settlement Over UIT Sales ...

2 weeks from now

Sep 23, 2019  · The three Raymond James entities agreed to pay $15 million as part of the settlement. Raymond James & Associates, Inc. and Raymond James Financial Services …

erezlaw.com

Raymond James Agrees To Pay $15 Million For Improperly …

2 weeks from now

Washington D.C., Sept. 17, 2019 — The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on …

marketswired.com

Raymond James Entities Settle With SEC For $15 Million | 15 …

2 weeks from now

Sep 17, 2019  · Raymond James Financial has settled an order with the Securities and Exchange Commission over improperly charging fees and excess commissions and h... 17 Sep 2019 …

15minutenews.com

Raymond James To Pay $15m To Settle With SEC Over Excessive …

2 weeks from now

Sep 18, 2019  · Raymond James will pay $15 million in restitution and fines as part of a settlement with the regulator for allegedly charging improper fees and excessive commissions.

citywire.com

Raymond James Agrees To Pay $15 Million For Overcharging …

2 weeks from now

Sep 19, 2019  · The Raymond James entities will pay disgorgement of $11 million, prejudgment interest of $1 million and a $3 million civil penalty. They have also agreed to make distributions …

ecclestonlaw.com