Raymond James to Pay Nearly $12.5 Million for ‘Nickel-and …
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 million for supervisory ...
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Raymond James To Pay Nearly $12.5 Million For ‘Nickel-and …
3 weeks from now
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 million for supervisory ...
advisorhub.com
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$200K Penalties, Restitution For Overcharging Commissions To …
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Feb 5, 2024 · As part of the settlement, Raymond James will pay restitution and interest of $109,349.94 directly to the affected Oregon investors and a $75,000 civil penalty to the State …
oregonbusinessreport.com
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Raymond James Must Pay $200,000 In Penalties And Restitution …
3 weeks from now
As a result of a coordinated investigation by state securities regulators, the group concluded that from July 1, 2018, to July 17, 2023, Raymond James charged unreasonable commissions on …
theashlandchronicle.com
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Oregon Orders Raymond James To Pay Nearly $200K Over …
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Feb 5, 2024 · In 2011, Raymond James Associates and Raymond James Financial Services were required to pay a collective $1.7 million to customers and fines totalling $425,000 to the …
investmentnews.com
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Raymond James To Pay Nearly $200,000 For Overcharging Oregon …
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Feb 2, 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 …
insurancenewsnet.com
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Raymond James Financial Settles Allegations Of Inadequate …
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Sep 4, 2024 · Raymond James Financial has agreed to pay over $1.9 million to settle allegations of inadequate record-keeping tied to customer complaints. ... Raymond James will pay more …
thewealthadvisor.com
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Baird Wins $4.6 Million Raiding Claim Against Raymond James
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Dec 17, 2024 · According to the arbitration award, Raymond James is to pay $2.8 million in compensatory damages for violating Finra’s fair practice rules, close to $1.4 million in …
investmentnews.com
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Raymond James To Pay $15M To Settle Hidden-Fee Claims
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Law360 (June 12, 2019, 4:27 PM EDT) -- Raymond James Financial. agreed Tuesday to pay $15 million to a certified class of nearly 59,000 customers to settle claims that the Florida-based …
finralawyer.org
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Raymond James Payouts To SEC Reach $37 Million
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Sep 25, 2019 · Raymond James agreed to pay more than $15 million to settle Securities and Exchange Commission (About. Who We Are. Testimonials. Disclaimers. Attorneys. For …
ecclestonlaw.com
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Raymond James CEO Paul Reilly’s Pay Nearly Doubles To $34.9 …
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Jan 9, 2024 · Raymond James’ board set Curtis’ pay for 2023 at $5.4 million, down 46% from a total of $10.1 million in 2022 that included that retention bonus. Elwyn’s pay similarly dropped …
advisorhub.com
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Raymond James To Pay $2 Million Over Unfair Commissions
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Sep 29, 2011 · 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 …
reuters.com
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Raymond James To Pay Nearly $2M For Failure To Report …
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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
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Ex-Dow Chemical Exec, Raymond James Settle SEC Insider Case
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Jan 14, 2014 · More than $1 million of illegal profit was realized, the SEC said. ... Raymond James agreed to pay about $382,000 representing ill-gotten gains and interest, and Adams …
reuters.com
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JANUARY 24, 2025 - Raymond James
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• Existing home sales increased by 2.2% month-over-month during December, to a seasonally adjusted rate of 4.24 million. The year-over-year increase in the median price of existing …
raymondjames.com
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Ex-Morgan Stanley Broker Fined, Suspended Over Unauthorized …
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Sep 27, 2022 · Morgan Stanley was one of eight who agreed to pay $125 million. ... Morgan Stanley Fails to Secure TRO Against Las Vegas Broker Who Joined Raymond James. ... Stifel …
advisorhub.com
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Raymond James Pays $50 Million SEC Fine • St Pete Catalyst
3 weeks from now
August 16, 2024 - The U.S. Securities and Exchange Commission (SEC) fined St. Petersburg-based Raymond James and 25 other firms nearly $400 million following an investigation into …
stpetecatalyst.com
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6 Reasons To Bet On Raymond James Stock For Solid Returns In 2025
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Dec 17, 2024 · Growth Drivers for Raymond James’ Stock. Earnings Growth: Raymond James has witnessed earnings growth of 19.4% in the past three to five years, driven by a solid top …
yahoo.com
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