RJ units to pay $2.1M over commissions - InvestmentNews

RJ Units To Pay $2.1M Over Commissions - InvestmentNews

2 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 …

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Oregon Orders Raymond James To Pay Nearly $200K Over

2 weeks from now

Feb 5, 2024  · “In Oregon, Raymond James charged unreasonable commissions totaling $96,550.83 to Oregon investors in 2,740 transactions,” the Division of Financial Regulation …

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Raymond James To Pay $2 Million Over Unfair Commissions

2 weeks from now

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 …

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SEC.gov | Raymond James Agrees To Pay $15 Million For …

2 weeks from now

Sep 17, 2019  · The order further finds that Raymond James also failed to apply available sales discounts for brokerage customers that rolled over their proceeds after selling a maturing UIT …

sec.gov

Raymond James Entities Settle With SEC For $15 Million

2 weeks from now

Raymond James Financial has settled an order with the Securities and Exchange Commission over improperly charging fees and excess commissions and has agreed to pay the regulator …

wsj.com

RJ Subs To Pay $2.1M For Allegedly Charging Jacked-up Commissions

2 weeks from now

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 …

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Raymond James To Pay $15 Million Over Improper Charges To Clients

2 weeks from now

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 …

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InvestmentNews On LinkedIn: Oregon Orders Raymond James To …

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The state of Oregon has ordered Raymond James to pay nearly $200,000 following a ... InvestmentNews’ Post ... Oregon orders Raymond James to pay nearly $200K over …

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Edward Jones To Pay $17M Over Front-Load Commissions

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Jan 8, 2025  · The firm charged front-load commissions for investments in Class A shares where the customer sold or moved the shares sooner than anticipated. The states found gaps in …

thinkadvisor.com

RJ Unit Gives Bonuses To Big Producers - InvestmentNews

2 weeks from now

In the style of a 401(k) plan, the new deferred-compensation program gives a bonus this year of 1% to affiliated reps who produce $450,000 in fees and commissions, a 2% bonus for …

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Edward Jones To Pay $17M To Settle Mutual Fund Fee Overcharging …

2 weeks from now

Jan 9, 2025  · A four year investigation by state regulators has left Edward Jones with a $17 million penalty resulting from overcharging certain customers for mutual fund sales fees. The …

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RJ Buy May Be Tough Sell To Keegan Reps - InvestmentNews

2 weeks from now

Mar 9, 2012  · Industry observers agree that the key to the $930 million buyout is getting the brokers to buy into it. How they react to the merger over the next few weeks — and how many …

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Raymond James Could Be On The Hook For $40 Million In Additional ...

2 weeks from now

Jan 10, 2025  · Raymond James Financial Inc. this week disclosed another round of potential legal and regulatory penalties totaling an aggregate loss of as much as $40 million, according to the …

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RJ Unit Takes Internal Heat - Investment News

2 weeks from now

May 7, 2007  · In a case that lasted about a year, the Securities and Exchange Commission in September 2005 ordered the firm to pay a $6.9 million fine for its failure to supervise a rogue …

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RJ Picks Up Two Teams With $460M In Total Assets - InvestmentNews

2 weeks from now

Dec 9, 2010  · Together the five advisers had annual production of more than $2.8 million and managed over $460 million in client assets at Davidson, Raymond James said in a statement. …

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RJ Unit Gives Bonuses To Big Producers - Investment News

2 weeks from now

Jun 14, 2007  · RJ unit gives bonuses to big producers ... the new deferred-compensation program gives a bonus this year of 1% to affiliated reps who produce $450,000 in fees and …

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