Raymond James to Pay $13M Over High Fees - ThinkAdvisor

Raymond James To Pay $13M Over High Fees - ThinkAdvisor

2 weeks from now

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 Luminaries Podcasts Videos ...

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NASAA Announces $13 Million Settlement With Raymond James

2 weeks from now

The investigation was led by state securities regulators in Alabama, California, Illinois, Massachusetts, Montana, and Washington and found that Raymond James charged …

nasaa.org

Arkansas Securities Department Joins $13 Million Multi-state …

2 weeks from now

Oct 12, 2023  · Little Rock, Ark. (October 9, 2023) – The Arkansas Securities Department (ASD) has joined a $13 million multi-state settlement with Raymond James & Associates Inc. and …

arkansas.gov

State Joins $13M Settlement With Raymond James Over High Fees

2 weeks from now

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

Raymond James To Pay $13 Million For Unreasonable Fees

2 weeks from now

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 …

2 weeks from now

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

Settlement Reached Between Raymond James And Oregon Investors

2 weeks from now

Feb 4, 2024  · Raymond James has reached a settlement to pay close to $200,000, addressing claims it levied unreasonable commissions on investors across a span of five years up to last …

thewealthadvisor.com

NEWS IN BRIEF | Arkansas Democrat Gazette

2 weeks from now

Oct 10, 2023  · State agency joins. $13M settlement. The Arkansas Securities Department has joined a $13 million multi-state settlement with Raymond James & Associates Inc. and …

arkansasonline.com

Raymond James Settles For $13M Over Excess Commissions

2 weeks from now

By Sydney Price. Law360 (July 12, 2023, 6:17 PM EDT) -- Two units of Raymond James Financial will pay $13 million to settle a multistate investigation into claims the firms charged …

law360.com

Montanans To Share Payout After Raymond James Settlement - KECI

2 weeks from now

Jul 19, 2023  · The state will also receive $100,000 as part of a fine payout. ... Downing announced a $13 million settlement with Raymond James & Associates, Inc. and Raymond …

nbcmontana.com

Alabama Joins Multiple States In $12.4 Million Settlement With …

2 weeks from now

Nov 7, 2023  · today that it has joined a multi-state settlement with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively, Raymond James), which will …

alabama.gov

ACC Joins Other States In $12.4 Million Settlement With Raymond …

2 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

State Joins $12.4 Million Settlement For Unreasonable Commissions

2 weeks from now

Illinois Secretary of State Alexi Giannoulias announced a victory for main street investors as Illinois becomes part of a $12.4 million settlement with Raymond James & Associates, Inc. and …

sangamonreporter.com

Raymond James To Pay Fine In Oregon Over High Commissions

2 weeks from now

Feb 1, 2024  · The penalties and restitution come after the firm agreed to a $13 million multi-state settlement last year. Raymond James to Pay Fine in Oregon Over High Commissions Tax …

thinkadvisor.com

State Joins $13M Settlement With Raymond James Over High Fees

2 weeks from now

State Joins $13M Settlement With Raymond James Over High Fees 10 October 2023 More than 3,544 Arkansas-based transactions were marked up more than 5%, totaling more than $113,413.

arkansasbest.us