Search for: "Raymond James Financial, Inc."
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7 Aug 2007, 11:03 am
" FEBRUARY 21, 2007: NASD FINED RAYMOND JAMES $2.75 MILLION FOR FAILURE TO SUPERVISE On February 21, 2007, the NASD fined Raymond James Financial Serves, Inc. of St. [read post]
23 Dec 2011, 9:26 am
Earlier this year, an arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded a Texas man and the estate of his deceased wife $1.7 million, after finding that an independent contractor, Paul Davis of Raymond James Financial Services, sold life insurance and variable annuity products that were inappropriate investments given the couple’s age and risk tolerance. [read post]
29 Jul 2020, 12:20 pm
Grizelle Perez USC Securities LLC Sanders Morris Harris LLC John Wyshak Raymond James & Associates, Inc. [read post]
22 Mar 2024, 9:07 am
(CRD#:249), FORT MYERS, FLB, 02/09/2007 – 07/26/2018, RAYMOND JAMES & ASSOCIATES, INC. [read post]
12 Jul 2011, 7:54 pm
The result, according to a report by Raymond James & Associates, Inc., is an expected step up in assisted acquisitions over the next few years. [read post]
31 May 2007, 9:45 am
Prudential Financial Inc. continues to own 38% of Wachovia. [read post]
4 Sep 2012, 10:17 am
Raymond James Fin. [read post]
12 Jan 2012, 3:48 pm
Speaking for the Teamsters, Dennis Raymond wants the financial sacrifice to be shared by everyone, not just the union employees. [read post]
30 Dec 2022, 7:14 am
John Fabiano LPL Financial LLC JD Financial Services Inc. [read post]
29 Apr 2024, 1:40 pm
FINRA BrokerCheck Report – Andrew Egber According to this FINRA BrokerCheck report, Andrew Egber was affiliated with the following fir ms during his career, among others: 05/27/2022 – 04/18/2024, STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC (CRD#:1254), BETHESDA, MD, B, 01/12/2018 – 05/27/2022, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
2 Jun 2011, 11:00 am
Gray currently serves as a director for Prudential Financial, Inc., Dell Computer Corporation, and Pfizer Inc. [read post]
9 May 2009, 6:00 am
Gray is also a director of Dell Computer Corporation, Pfizer Inc., Prudential Financial Inc., and Visteon Corporation. [read post]
23 Sep 2021, 6:59 pm
According to his broker report, Shillin was affilated with the following firms during his career in the securities industry: 05/23/2018 – 10/05/2020, A.G.P. / ALLIANCE GLOBAL PARTNERS (CRD#:8361), Altoona, WI08/21/2014 – 06/11/2018, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
25 Oct 2023, 8:05 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Davd Burch Raymond James & Associates, Inc. [read post]
29 Jul 2020, 12:44 pm
Raymond James & Associates, Inc. [read post]
6 Jul 2010, 8:00 am
(since 2000), and Prudential Financial, Inc. [read post]
16 Jun 2019, 1:01 pm
In addition to Arizona, Aaron Brian Graham is registered in 11 other U.S. states, has spent 20 years in the securities industry, and has also been registered with the following firms: Raymond James Financial Services, Inc., St. [read post]
4 Jun 2021, 11:45 am
In addition to the criminal charges against Kelly and his co-defendants, in 2017, the government reached a $150 million civil settlement with Raymond James Financial Inc., based on allegations that a Raymond James employee, at the direction of Quiros, inappropriately transferred investment funds to buy Jay Peak, failed to adequately supervise its employees, and did not follow its own supervisory procedures. [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
3 Jan 2010, 4:26 pm
-Raymond McFeetors, Great-West Lifeco Inc. $4.2 million. [read post]
