Raymond James to Pay $1.1 Million for Failure to Supervise Father …
Industry self-regulator Finra ordered two units of Raymond James Financial to pay a combined $1.1 million for allegedly failing to supervise two advisors who were overcharging customers.
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Raymond James To Pay $1.1 Million For Failure To Supervise Father …
3 weeks from now
Industry self-regulator Finra ordered two units of Raymond James Financial to pay a combined $1.1 million for allegedly failing to supervise two advisors who were overcharging customers.
barrons.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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FINRA Orders Raymond James To Pay $1.1 Million For Overcharges …
3 weeks from now
Nov 2, 2022 · The Financial Industry Regulatory Authority (FINRA) has ordered Raymond James to pay at least $1.1 million over supervisory failures that resulted in excessive commissions …
ecclestonlaw.com
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Raymond James To Pay Nearly $12.5 Million For ‘Nickel-and …
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Jul 11, 2023 · Separately, in October 2022, the Financial Industry Regulatory Authority censured Raymond James Financial’s two brokerage units and ordered them to pay more than $1.1 …
advisorhub.com
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Raymond James Fined $1.1M Over Reps' Commission Scheme
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The two units, Raymond James & Associates Inc. and Raymond James Financial Services Inc., agreed to pay nearly $1.1 million combined after the regulator alleged they failed to catch the …
law360.com
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FINRA Orders Raymond James To Pay $1.1 Million For Overcharges …
3 weeks from now
The Financial Industry Regulatory Authority (FINRA) has ordered Raymond James to pay at least $1.1 million over supervisory failures that resulted in exces...
ecclestonlaw.com
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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
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Raymond James To Pay $13 Million For Unreasonable Fees
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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 To Pay $13M Over High Fees - ThinkAdvisor
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Jul 11, 2023 · The firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients. Raymond James to Pay $13M Over High Fees Tax Facts …
thinkadvisor.com
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Attorney General Alan Wilson Announces SC Joins Settlement With …
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Oct 26, 2023 · Nationwide, Raymond James will pay at least $8.2 million in refunds to clients and $4.2 million in penalties and costs to the states for failing to ensure reasonable commission …
scag.gov
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Raymond James Agrees To Pay $12.5M+ Over High Fees
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Jul 12, 2023 · The North American Securities Administrators Association on Tuesday announced a settlement with Raymond James to the tune of about $12.5 million for overcharging retail …
financialadvisoriq.com
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Raymond James To Pay $12.5M For 'Unreasonable' Commission …
3 weeks from now
Jul 11, 2023 · In the Golden State alone, Raymond James will pay restitution totaling more than $460,000, as well as 6% interest, for customers with unreasonable commissions between July …
wealthmanagement.com
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Raymond James Agrees To Pay $15 Million For Overcharging …
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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
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Raymond James Settles Oregon Allegations That It Overcharged …
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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
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SEC Fines Raymond James $500,000 Over Supervisory Failures
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Oct 11, 2022 · The Securities and Exchange Commission (SEC) has imposed a $500,000 fine on Raymond James over its alleged supervisory failures related to a former Tennessee-based …
ecclestonlaw.com
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Is Raymond James In Trouble With Unreasonable Commissions?
3 weeks from now
May 7, 2024 · In response to the examination findings, Raymond James updated the equity commission schedule to prevent clients from being charged commissions exceeding 5% of the …
investmentfraudlawyers.com
FAQs about Raymond James to Pay $1.1 Million for Failure to Supervise Father … Coupon?
Why did FINRA order Raymond James Financial to pay $1.1 million?
Was Raymond James fined for overcharging?
Did Raymond James overcharge clients?
Will Raymond James return $825 million if fees are too high?
Did Raymond James overcharge retail investors on small dollar transactions?
How much does Raymond James charge per transaction?
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