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7 May 2019, 5:00 am
Ashley Raymond, the chief operating officer of Annapolis-based publishing company What’s Up? [read post]
26 Aug 2010, 2:40 pm
Since July 2010, FINRA arbitrators have ordered brokerage units of Raymond James Financial to buy back from customers auction rate securities (ARSs) totalling $3.5 million (3 separate proceedings). [read post]
17 Sep 2019, 10:40 am
The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess commissions for brokerage customer investments in…Read the Full Press Release--- Visit the Securities Lawyer website. [read post]
22 Jul 2010, 11:19 am
Cardozo School of Law, has published Publishing Raymond Carver's 'Original' Stories as 'Fair Use' in volume 7 of the Cardozo Public Law, Policy and Ethics Journal (2008/2009). [read post]
19 Jun 2019, 7:29 am
Raymond James reportedly denies the allegations. [read post]
8 May 2009, 8:07 pm
Read the obituary of Raymond Saulnier, in today's NYT--less than a week after Jack Kemp's--and you get a sense how radical the new "conservatism" is compared to the, well, conservative canons of the old.Saulnier was Ike's inside money man. [read post]
5 Sep 2018, 1:12 pm
Stephen Allen Murray (CRD #343722) is a former registered broker and investment advisor who was last employed by Raymond James & Associates, Inc. [read post]
4 May 2021, 8:10 am
Continue reading The post Dempsey Lord Smith Broker Raymond Sun Facing $1.2 Million Customer Claim appeared first on Securities Arbitration Lawyer Blog. [read post]
24 Nov 2012, 3:19 pm
Raymond Lee sues a lot of people in southern california and in Riverside county where I typically practice. [read post]
27 Dec 2016, 9:37 am
Criminal procedure — Illegal sentence — Separate sentences for robbery and second-degree assault On April 14, 2015, a Cecil County jury convicted appellant Raymond Evans of robbery and second-degree assault. [read post]
20 May 2011, 9:14 am
Meet Margaret Raymond Current Position: William G. [read post]
16 Nov 2008, 4:00 am
RAYMOND CHANDLER REVISITED: The fires are back. [read post]
26 Jun 2008, 10:52 pm
RAYMOND is blogging again. [read post]
13 May 2009, 9:45 am
In Raymond Edwards II vs. [read post]
19 Jan 2012, 2:32 pm
Raymond Vincent was arrested in Fort Lauderdale on Tuesday on three counts of lewd or lascivious molestation on a victim under 12. [read post]
25 Apr 2012, 11:04 am
Raymond A. [read post]
7 Feb 2012, 9:55 am
For the largest producers, those with production more than $1 million, Raymond James will pay 70% of the trailing 12. [read post]
2 Jan 2013, 6:16 am
Raymond Millien [...] [read post]
3 Dec 2018, 6:45 pm
Mark Tudor Has 5 Disclosures on His FINRA BrokerCheck Report, & Has 21 Years of Experience in the Securities Industry with 6 Different Firms Mark Tudor was registered with Raymond James Financial Services, Inc in Lake Mary, FL from June 13, 2014 until October 31, 2018, and with Raymond James & Associates, Inc. in Winter Park, FL from February 13, 2013 until June 17, 2014, FINRA notes. [read post]
25 Sep 2023, 7:45 am
Benjamin, formerly registered with Raymond James Financial Services, questions about compliance have arisen. [read post]
