SEC.gov | Raymond James Agrees to Pay $15 Million for …
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 unit investment …
OFF
SEC.gov | Raymond James Agrees To Pay $15 Million For …
3 weeks from now
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 unit investment …
sec.gov
OFF
NASAA Announces $13 Million Settlement With Raymond James
3 weeks from now
The investigation was led by state securities regulators in Alabama, California, Illinois, Massachusetts, Montana, and Washington and found that Raymond James charged …
nasaa.org
OFF
Raymond James To Pay $15M For Improper Advisory Fees And …
3 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
OFF
Raymond James To Pay Nearly $12.5 Million For ‘Nickel-and …
3 weeks from now
Jul 11, 2023 · The release estimated that Massachusetts-based clients of Raymond James would be netting more than $185,000, plus 6% interest and the state would receive $100,000 in fine …
advisorhub.com
OFF
Raymond James Fined $15M For Charging Fee On Inactive Accounts
3 weeks from now
Sep 18, 2019 · Recently, Deutsche Bank AG DB agreed to pay $15 million in penalty to settle allegations that it exploited its market presence by overcharging clients for unsecured bonds …
yahoo.com
OFF
Raymond James Agrees To Pay $15 Million To Settle SEC Investigation
3 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
OFF
Raymond James & Associates To Pay $15 Million
3 weeks from now
Sep 18, 2019 · In June 2019 we told you that 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
OFF
Raymond James Agrees To Settle Overcharging Case - Financial …
3 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
OFF
Raymond James Settles With SEC For Improperly Charging Clients
3 weeks from now
Sep 17, 2019 · Brokerage firm Raymond James is paying US$15 million to settle allegations with U.S. regulators that it improperly charged certain investors.
investmentexecutive.com
OFF
Raymond James To Pay $15 Million For Improperly Charging …
3 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
OFF
Raymond James To Pay $13 Million For Unreasonable Fees
3 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
OFF
Raymond James Settles SEC Case On UITs For $15M | Financial …
3 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
OFF
Raymond James Settles Oregon Allegations That It Overcharged …
3 weeks from now
Feb 2, 2024 · Raymond James has agreed to pay nearly $200,000 to settle allegations that it charged investors unreasonable commissions over a five-year period ending last July.
barrons.com
OFF
Raymond James Agrees To Pay $15 Million For Overcharging …
3 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
OFF
Raymond James Settles Oregon Allegations That It Overcharged …
3 weeks from now
Last July, Raymond James agreed to pay $13 million to settle the overcharge allegations with a consortium of states that alleged the company had errantly collected $8.25 million in excessive ...
msn.com
OFF
Raymond James Lawsuit Alleges Overcharges - The White Law …
3 weeks from now
Jun 19, 2019 · Raymond James Lawsuit – BD to pay $15 million for Reportedly Overcharging Customers. According to reports this week, Raymond James has agreed to pay $15 million to …
whitesecuritieslaw.com
OFF
SEC Charges Pair Of Wells Fargo Advisory Firms And Merrill Lynch …
3 weeks from now
Jan 17, 2025 · The firms agreed to settle the SEC’s charges and pay $60 million in total civil penalties. According to the SEC’s orders, Wells Fargo Advisors and Merrill Lynch offered bank …
sec.gov
FAQs about SEC.gov | Raymond James Agrees to Pay $15 Million for … Coupon?
How much will Raymond James pay to settle charges?
How much will Raymond James pay to settle 'unreasonable commissions'?
Did Raymond James overcharge retail investors on small dollar transactions?
Did Raymond James overcharge customers?
Did Raymond James charge investors unreasonable commissions?
Was Raymond James fined for overcharging?
Install CouponFollow Extension on Chrome
Install the CouponFollow extension to search for discount codes when shopping the fastest!
Install CouponFollow Chrome Extension
Listing Store by Characters
