Raymond James settles SEC case on UITs for $15M | Financial …

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 the SEC share …

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Raymond James Settles SEC Case On UITs For $15M | Financial …

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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 the SEC share …

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

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Sep 17, 2019 · The order charges Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc., with violating Sections 206(2) and 206(4) of the Investment …

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Raymond James Agrees To Pay $15 Million To Settle SEC Investigation

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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 For Improper Advisory Fees And …

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Oct 3, 2019 · Three Raymond James entities — Raymond James & Associates, Inc., Raymond James Financial Services Advisors, Inc., and Raymond James Financial Services, Inc. (RJF) …

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Raymond James Agrees To Pay $15 Million For Improperly …

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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 …

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

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Sep 17, 2019 · [Recommended video: Financial planning wasn't even a thing 50 years ago] The SEC also found that the same two Raymond James groups recommended that their brokerage …

investmentnews.com

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

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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

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SEC Fines Raymond James $15 Million For Improperly Charging Investors

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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 fees on inactive retail ...

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Raymond James To Pay $15 Million For Improperly Charging …

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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 …

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Raymond James & Associates To Pay $15 Million

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Sep 18, 2019 · Raymond James Settles SEC Charges for Improper Advisory Fees. According to a press announcement yesterday, Raymond James & Associates, a unit of Raymond James …

whitesecuritieslaw.com

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$15 Million Settlement In SEC Order Against Raymond James

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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 …

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Raymond James To Pay $15 Mln For Improperly Charging Investors

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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 …

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Raymond James Agrees To Pay $15 Million For Improperly …

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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 …

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

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Sep 23, 2019 · In September 2019, the Securities and Exchange Commission (SEC) instituted a settled order against three Raymond James entities for improperly charging advisory fees on …

erezlaw.com

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Raymond James Will Pay $15M To Settle Hidden Fees Class Action

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Jun 14, 2019 · The Raymond James class action lawsuit claims the company charged an additional processing fee on security transactions that was not disclosed to customers. The …

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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 …

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FAQs about Raymond James settles SEC case on UITs for $15M | Financial … Coupon?

Why did Raymond James pay $15 million?

Following a four-year legal battle and two appeals, Raymond James has agreed to pay $15 million to settle two consolidated lawsuits that accused the firm of overcharging its clients in certain accounts. ...

Who conducted the SEC's investigation?

The SEC’s investigation was conducted by Mark Oh of the Home Office and Marie DeBonis of the Asset Management Unit, with assistance from Mark Dowdell and Andrea Dittert of the Division of Examinations, and supervised by Sarah Lamoree and Mr. Schuster. ...

What is Vanguard's 'institutional target retirement funds' settlement?

The settlement amount will be distributed to harmed investors. The SEC’s order finds that, on December 11, 2020, Vanguard announced that the minimum initial investment amount of Vanguard Institutional Target Retirement Funds (Institutional TRFs) was lowered from $100 million to $5 million. ...