Raymond James to Pay $13M Over High Fees - ThinkAdvisor
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 …
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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 …
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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 …
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Raymond James To Pay Nearly $12.5 Million For ‘Nickel-and …
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Jul 11, 2023 · Massachusetts state regulators on Tuesday ordered Raymond James Financial’s retail brokerage to return $8.25 million plus interest to clients who were charged “unreasonably …
advisorhub.com
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Raymond James To Pay Fine In Oregon Over High Commissions
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Feb 1, 2024 · This Ohio Regulator Will Help Shape How U.S. Annuity Sales Rules Really Work Edward Jones to Pay $17M Over Front-Load Commissions New York State Bill Could Double …
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Raymond James Settles For $13M Over Excess Commissions
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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 imposing excessive commission charges on equity transactions that ...
law360.com
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Massachusetts Fines Raymond James For Charging ‘unreasonably …
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Massachusetts fines Raymond James for charging ‘unreasonably high fees’ ... He also ordered Raymond James to pay $4.2 million in fines and penalties to the six states involved in the …
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Raymond James Agrees To Pay $12.5M+ Over High Fees
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Jul 12, 2023 · The overcharging occurred because a minimum commission charge of $75 was applied "regardless of the reasonableness of the commission," according to Galvin's office, …
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Six States Impose $4.2M Fine On Raymond James For Excessive Fees
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Jul 11, 2023 · Six states ordered Raymond James to pay $4.2 million in fines and penalties and return $8.25 million to retail customers who were charged excessive commissions for small …
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Raymond James Settles Charges Of High Fees For $12M
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Jul 27, 2023 · Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. have been ordered to “return $8.25 million, plus interest, to customers who were charged …
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FINRA Fines Raymond James $17M Over ‘Widespread’ AML Failures
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May 18, 2016 · "Raymond James had significant systemic AML failures over an ... Cambridge and Osaic to Pay Clients $8.2M Over Excess Fees Schwab Seeks to Block ... / Business & …
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State Joins $13M Settlement With Raymond James Over High Fees
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Oct 10, 2023 · Investigators found that Raymond James charged unreasonable commissions on over 270,000 equity transactions and trades nationwide over the past five years, according to …
arkansasbusiness.com
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Raymond James To Pay $15 Million Over Improper Charges To Clients
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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
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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) …
investorlawyers.com
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Two Concurrent Brokers Ordered To Repay Raymond James …
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2 days ago · Two former Raymond James Financial Services brokers in Houston were ordered to pay back more than $500,000 that they allegedly owed that firm when their advisory firm …
advisorhub.com
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Raymond James To Pay $15M To SEC For Improper Charges
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Sep 17, 2019 · RIA to Pay $115K Fine Over Custody Rule Violations Wells Fargo and LPL to Pay $1.8M to Settle SEC Charges 10 Worst Financial Advisor Cases of 2025 FINRA Awards …
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Raymond James To Pay $13M Over High Fees | ThinkAdvisor
2 weeks from now
The company accepted to pay $9.4 million included fine to state regulators and to return $9.91 million plus equity to clients. ... Topics Discover relevant content from beyond the suite of ALM …
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Client Account Fees & Charges - Raymond James
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Closing fee related to the external transfer of an account from Raymond James: $125; Closing fee related to the termination of a retirement account through a distribution: $100; High-risk …
raymondjames.com
FAQs about Raymond James to Pay $13M Over High Fees - ThinkAdvisor Coupon?
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