Search for: "Raymond James Financial, Inc."
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26 Jul 2018, 11:45 am
Securities attorneys at Gana Weinstein LLP have been investigating Raymond James & Associates, Inc. [read post]
16 Sep 2015, 6:04 am
FINRA found that Madden did not obtain written authorization from his customers to exercise discretion in their accounts and his brokerage firm, Raymond James & Associates, Inc. [read post]
10 Nov 2023, 7:29 am
(CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. [read post]
5 Apr 2013, 5:45 am
In Raymond James Financial Services, Inc. and Timothy Carl Satre v. [read post]
28 Nov 2023, 7:42 am
Jermaine Benjamin (CRD# 6152653, Jermaine K Benjamin, Jermaine Kahlil Benjamin) is a former registered broker and investment advisor last employed by Raymond James Financial Services, Inc. [read post]
21 Mar 2016, 12:50 pm
While employed as a financial adviser at Smith Barney & Co., Morgan Keegan & Co. and Raymond James Financial Inc, Foerster allegedly instructed clients to move funds from their brokerage accounts into their personal checking accounts in order to cut Foerster a check for the phoney investment. [read post]
27 Nov 2013, 7:00 am
See Raymond James Financial Services Inc. v. [read post]
28 Mar 2023, 12:15 pm
Todd Seymour (Todd Michael Seymour CRD# 3249733) is a previously registered broker and currently registered investment advisor last employed with Raymond James Financial Services, Inc. [read post]
20 Jun 2013, 5:53 am
From 2002 until August 29, 2011, he was registered with FINRA member firm Raymond James Financial Services, Inc. (“RJFS”).2012 State ActionThe AWC indicates Urovsky’s prior disciplinary history as including a Maryland Securities Commissioner issued a Consent Order (Docket No. 2011-0413, March 1, 2012) against Urovsky t... [read post]
10 Mar 2014, 6:04 am
Rauguth, Respondent (AWC 2013036434901, March 4, 2014).From 1997 through March 22, 2013, Rauguth was associated with FINRA member firm Raymond James Financial Services, Inc. (“RJFS”). [read post]
7 May 2019, 7:09 am
Managers for the public offering were William Blair and Raymond James, and the co-manager was Avondale Partners. [read post]
1 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: According to a survey by InvestmentNews for 2013, the top five Independent broker-dealers firms ranked by total account assets are: LPL Financial, with total account assets of $437,906.7 M Raymond James Financial Services Inc., with total account assets of $191,660.5M Northwestern Mutual, with total account assets of $100,090.9M Commonwealth Financial Network, with… [read post]
10 Oct 2022, 4:49 am
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc.… [read post]
6 Apr 2016, 10:23 am
Bradford & Co., Citigroup Global Markets Inc., and Morgan Keegan & Co. before he was let go from Raymond James in June of 2014.If Foerster is subject to the maximum penalty for his wire fraud, he could face 20 years behind bars and a $250,000 fine. [read post]
17 Jul 2017, 12:56 pm
In July 2015, Crook was discharged from Raymond James & Associates Inc due to the findings that that the financial advisor allegedly did not respond in a timely manner to a supervisory review of trading activity. [read post]
8 Aug 2018, 12:25 pm
He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. [read post]
22 Apr 2024, 12:35 pm
Raymond James & Associates, Inc. [read post]
16 May 2019, 7:37 am
The post Health Insurance Innovations, Inc. [read post]
10 Nov 2021, 1:14 pm
LLC, Morgan Stanley, and Allen & Company LLC were the joint book-running managers for the offering, with Needham & Company, William Blair, KeyBanc Capital Markets, Raymond James, Barrington Research, Craig-Halllum, Berenburg, and Northland Capital Markets as co-managers. [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates,… [read post]
