Search for: "James W Baird" Results 1 - 20 of 34
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1 Sep 2016, 5:23 am
-based Raymond James & Associates and Milwaukee-based Robert W. [read post]
15 Sep 2016, 9:41 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has settled charges alleging violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-7 with Raymond James & Associates (“Raymond James”) and Robert W. [read post]
8 Sep 2016, 10:45 am by Mark Astarita
-based Raymond James & Associates and Milwaukee-based Robert W. [read post]
25 Jun 2015, 1:29 pm by D. Daxton White
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc Sterne… [read post]
30 Jun 2011, 11:21 am by azatty
And here is the list of honorees (in alphabetical order): James W. [read post]
21 Apr 2019, 7:16 am by ccollins
Baird, Citigroup Global Markets (C), Lehman Brothers, and Centennial Securities. [read post]