Raymond James to pay $1.9M over failing to supervise mutual …

Raymond James To Pay $1.9M Over Failing To Supervise Mutual …

2 weeks from now

Aug 30, 2024  · Raymond James & Associates and its subsidiary agreed to pay more than $1.9 million to settle allegations levied by the Financial Industry Regulatory Authority that it …

complianceweek.com

Raymond James Fined By FINRA Over Failures In Reporting …

2 weeks from now

Sep 11, 2024  · In a letter of acceptance, waiver and consent, FINRA said that Raymond James will pay over $1.9 million to settle the case. FINRA pointed out that member firms must …

securitieslaw.com

Raymond James & Associates Fined Over $1.9 Million For Failing To ...

2 weeks from now

Sep 2, 2024  · Raymond James & Associates (RJA) and its subsidiary have agreed to pay over $1.9 million to settle allegations from the Financial Industry Regulatory Authority (FINRA) that …

flexi-news.com

Raymond James Agrees To $1.8M In Finra Fines Over

2 weeks from now

Sep 3, 2024  · Raymond James is settling with Finra for more than $1.8 million over alleged failures to supervise reporting of customer complaints and monitor 4.7 million mutual fund …

investmentnews.com

Raymond James Penalized For Allegedly Failing To Record …

2 weeks from now

Raymond James Financial has agreed to pay more than $1.9 million to resolve allegations of faulty record-keeping related to customer complaints and mutual fund purchases.

barrons.com

Raymond James Faces $1.9M Fine For Oversight Failures

2 weeks from now

Aug 31, 2024  · Censure and fines: Raymond James & Associates and Raymond James Financial Services agreed to a censure without admitting or denying the findings. Financial penalties: …

finbler.com

Raymond James To Pay Nearly $2M For Failure To Report …

2 weeks from now

Sep 3, 2024  · Raymond James failed to reasonably supervise the timely reporting of customer complaints, FINRA finds. RJFS also failed to reasonably supervise at least 4.7 million mutual …

thinkadvisor.com

Raymond James, Wells Fargo, Others Ordered To Pay Millions In ...

2 weeks from now

Jul 6, 2015  · FINRA orders Wells Fargo, Raymond James, and LPL Financial to pay more than $30 million in restitution to retirement accounts and charities overcharged for mutual funds.

floridatrend.com

Mutual Fund Switching Lawyers

2 weeks from now

Sep 13, 2024  · Raymond James Financial Services and Raymond James & Associates, which are both Raymond James Financial Inc. subsidiaries, have agreed to pay over $1.8M to settle …

investorlawyers.com

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

2 weeks from now

Aug 14, 2024  · Raymond James & Associates, Inc. agreed to pay a $50 million penalty; RBC Capital Markets, LLC agreed to pay a $45 million penalty ... The firms were also each charged …

sec.gov

MutualFundAlpha.com > News & Outlook > News Article

2 weeks from now

Dec 12, 2024  · Global ETF assets soar to $15tn as shift from mutual funds gathers pace Editor posted on December 12, 2024 00:30 Despite the move away from mutual funds, the industry …

mutualfundalpha.com

Raymond James Unit Fined $500K For Supervisory Failures

2 weeks from now

Sep 23, 2022  · A broker-dealer unit of Raymond James Financial agreed to pay $500,000 as part of a settlement with the Securities and Exchange Commission (SEC) for alleged supervisory …

complianceweek.com

Raymond James Fined $400,000 For Failure To Supervise

2 weeks from now

Raymond James Financial Services Inc. has agreed to pay a $400,000 fine to settle allegations that it failed to supervise a customer who used accounts he had with the firm to operate a multi …

securitiesarbitrations.com