Raymond James to pay $2 million over unfair commissions
Raymond James Financial Inc <RJF.N> will pay more than $2.1 million to resolve claims by brokerage watchdog FINRA that the regional brokerage charged excessive commissions on …
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Raymond James To Pay $2 Million Over Unfair Commissions
3 weeks from now
Raymond James Financial Inc <RJF.N> will pay more than $2.1 million to resolve claims by brokerage watchdog FINRA that the regional brokerage charged excessive commissions on …
reuters.com
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Raymond James To Pay $2 Mln Over Unfair Commissions
3 weeks from now
Sept 29 (Reuters) - Raymond James Financial Inc . will pay more than $2.1 million to resolve claims that it charged excessive commissions on trades to nearly 16,000 accounts, the …
reuters.com
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RJ Subs To Pay $2.1M For Allegedly Charging Jacked-up Commissions
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Sep 23, 2011 · Two broker-dealer subsidiaries of Raymond James Financial Inc. today were ordered to pay $2.1 million in fines and restitution to clients for allegedly “unfair and …
investmentnews.com
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Raymond James To Pay $2 Million Over Unfair Commissions
3 weeks from now
Sep 29, 2011 · NEW YORK (Reuters) - Raymond James Financial Inc will pay more than $2.1 million to resolve claims by brokerage watchdog FINRA that the regional brokerage charged …
huffpost.com
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Raymond James Pays Settlement For Excessive Commissions
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Feb 2, 2024 · In July of last year, Raymond James agreed to pay $13 million to settle overcharge allegations made by a consortium of states. These allegations claimed that the firm had …
fxtechlab.com
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Raymond James Will Pay $2 Million Over Finra Unfair Charge …
3 weeks from now
Sept. 29 (Bloomberg) -- Raymond James Financial Inc. will pay more than $2 million to resolve Financial Industry Regulatory Authority claims that more than 15,500 brokerage clients were …
newsmax.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 To Pay Nearly $12.5 Million For ‘Nickel-and …
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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
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Settlement Reached Between Raymond James And Oregon Investors
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Feb 4, 2024 · The July settlement saw Raymond James consenting to a $13 million payment to address accusations from a coalition of states. The allegations pinpointed the firm's …
thewealthadvisor.com
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Raymond James To Pay $12M+ To Settle 'Unreasonable' …
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Jul 11, 2023 · Raymond James will pay more than $12 million to settle charges of 'unreasonable commissions' on transactions, according to state regulators.
wealthmanagement.com
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WA DFI Joins $12.4 Million Settlement With Raymond James For …
3 weeks from now
Jul 11, 2023 · Raymond James took a commission on these transactions in excess of 5% of the principal value, sometimes taking 100% of the proceeds from a customer’s sale. Over the past …
wa.gov
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Raymond James Agrees To Settle Overcharging Case - Financial …
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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
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Raymond James To Pay $12.4M To Settle Allegations It …
3 weeks from now
Jul 11, 2023 · Raymond James & Associates will pay a total of $12.4 million to settle charges stemming from a multistate investigation that found that it systemically overcharged low …
fa-mag.com
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RJ Units To Pay $2.1M Over Commissions - InvestmentNews
3 weeks from now
Oct 2, 2011 · Two broker-dealer subsidiaries of Raymond James Financial Inc. were ordered last week to pay $2.1 million in fines and restitution to clients for allegedly “unfair and …
investmentnews.com
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$200K Penalties, Restitution For Overcharging Commissions To …
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Feb 5, 2024 · In Oregon, Raymond James charged unreasonable commissions totaling $96,550.83 to Oregon investors in 2,740 transactions. As part of the settlement, Raymond …
oregonbusinessreport.com
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Raymond James Agrees To Pay $12.5M+ Over High Fees
3 weeks from now
Jul 12, 2023 · The St. Petersburg, Florida–based brokerage's employee and independent contractor channels, Raymond James & Associates and Raymond James Financial Services, …
financialadvisoriq.com
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Is Raymond James In Trouble With Unreasonable Commissions?
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May 7, 2024 · “Unreasonable” equity commission schedule charges According to the public records, Raymond James had to pay over $12 million to settle such allegations (again, without …
investmentfraudlawyers.com
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ACC Joins Other States In $12.4 Million Settlement With Raymond …
3 weeks from now
Dec 6, 2024 · Phoenix, Ariz. - The Arizona Corporation Commission announced it has joined a multi-state settlement with two financial services firms of Raymond James, which will pay …
azcc.gov
FAQs about Raymond James to pay $2 million over unfair commissions Coupon?
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Did Raymond James improperly charge advisory fees?
How did Raymond James settle a commission dispute?
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