ThinkAdvisor on LinkedIn: Raymond James Hit With $4.2M Fine …

BREAKING: A group of state regulators has ordered Raymond James Financial Services Inc. to return $8.25 million to clients who were charged unreasonably high…

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ThinkAdvisor On LinkedIn: Raymond James Hit With $4.2M Fine …

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BREAKING: A group of state regulators has ordered Raymond James Financial Services Inc. to return $8.25 million to clients who were charged unreasonably high…

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ThinkAdvisor On LinkedIn: Raymond James Hit With $4.2M Fine …

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Raymond James Hit With $4.2M Fine Over High Fees http://ow.ly/QJfu104NJFf

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

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Jul 11, 2023 · Raymond James to Pay $13M Over High Fees ... Investors Hit Fidelity With FINRA Claim Over Advisor Accused of Losing $11M Advisor Pleads Guilty to Taking $17M ... / …

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Lance A. Browning, RICP®, AIF® On LinkedIn: Raymond James To …

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Raymond James Hit With $4.2M Fine Over High Fees | ThinkAdvisor thinkadvisor.com Like Comment Share Copy; LinkedIn; Facebook; Twitter; To view or add a comment, ...

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Raymond James' Profits Take $55M Hit From Fines - ThinkAdvisor

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Oct 26, 2023 · The $55 million hit was tied to the SEC's industry sweep of firms' off-channel communications. Raymond James' Profits Take $55M Hit From Fines Tax Facts Luminaries …

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ThinkAdvisor On LinkedIn: Raymond James‘ Profits Take $55M Hit …

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The $55 million hit was tied to the SEC's industry sweep of firms' off-channel communications. ThinkAdvisor on LinkedIn: Raymond James‘ Profits Take $55M Hit From Fines | ThinkAdvisor …

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

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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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ThinkAdvisor On LinkedIn: SEC Slams LPL, Raymond James, 24 …

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26 Firms to Pay Nearly $393M in SEC Texting Probe

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SEC Slams LPL, Raymond James & 24 Other Firms With $393M

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Aug 14, 2024 · SEC Slams LPL, Raymond James & 24 Other Firms With $393M in Off-Channel Messaging Fines By Dinah Wisenberg Brin News August 14, 2024 at 05:30 PM

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Raymond James Tops Estimates, Adds 75 Reps In Latest Quarter

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Oct 23, 2024 · Raymond James Financial said its profits rose nearly 40% from last year to $601 million, or $2.86 per diluted share, for the period ended Sept. 30. ... ThinkAdvisor provides …

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ThinkAdvisor On LinkedIn: Raymond James Targets $2T In Assets ...

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#RaymondJames sets its sights on a new milestone! With $1 trillion in assets already under administration, the financial services firm is now aiming for $2 trillion by 2030. #FinancialGoals …

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Tash Elwyn On LinkedIn: Raymond James Targets $2T In Assets

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We aren’t going to change our approach to the advisory business at Raymond James to reach our ambitious milestone of $2 trillion by 2030. We believe we can hit that $2 trillion in AUA by …

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Louis G. Poulin On LinkedIn: Raymond James Targets $2T In Assets ...

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Raymond James Targets $2T in Assets | ThinkAdvisor. We aren’t going to change our approach to the advisory business at Raymond James to reach our ambitious milestone of $2 trillion by …

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Pushed By Pandemic, $842M Merrill Team Leaps To Raymond James

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Jun 24, 2021 · Pushed by Pandemic, $842M Merrill Team Leaps to Raymond James By Jeff Berman. Career Moves June 24, 2021 at 11:34 AM ... ThinkAdvisor provides financial …

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FAQs about ThinkAdvisor on LinkedIn: Raymond James Hit With $4.2M Fine … Coupon?

Will Raymond James return $825 million if fees are too high?

A group of state regulators has ordered Raymond James Financial Services Inc. to return $8.25 million, plus interest, to clients who were charged unreasonably high fees over the past five years. ...

Will Raymond James pay a $4.2 million fine in Massachusetts?

The order, to which the firm has consented, further demands that Raymond James pay a total of $4.2 million in fines and penalties to the states involved, according to a press release issued by Massachusetts Secretary of State William Galvin, the state’s top securities regulator. ...

Did Raymond James overcharge clients?

According to the settlement agreement secured by Galvin’s office, Raymond James overcharged clients by applying a $75 minimum commission charge, regardless of the reasonableness of the commission. ...

How much does Raymond James charge per transaction?

Raymond James had an alternative small transaction commission schedule for the buying and selling of stocks with a principal amount of $300 or less; this schedule included charges of between $0 and $35 per transaction versus the $75 minimum equity commission. ...

What is thinkadvisor?

ThinkAdvisor provides financial advisors, registered investment advisors and wealth managers with comprehensive coverage of the products, services and information they need to guide their clients in making critical wealth, health and life decisions. Copyright © 2025 ALM Global, LLC. All Rights Reserved. / Terms of Service / Privacy Policy ...

Does Raymond James have a restitution policy?

Among the requirements of the settlement Raymond James has entered into with state securities regulators is an offer of restitution to clients who were charged more than 5% commissions on equity transactions in the past five years. The broker-dealer must also change its supervisory and a compliance apparatus concerning brokerage commissions. ...