Search for: "Raymond & Associates LLC"
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15 Jan 2019, 7:19 am
George Mathis (CRD #4271854) has been employed with Raymond James & Associates since November 2011. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
7 Feb 2010, 6:45 am
In a case involving 20 advisers in 4 branch offices, a securities arbitration panel has ordered Raymond James Associates Inc. to pay $12.1 million to Wells Fargo Advisors LLC for alleged raiding.The award does not provide any detail of the case, but ordered 10,500,000 in compensatory damages, 1,500,000 in attorneys fees and costs. [read post]
18 Sep 2019, 8:19 am
The post Raymond James & Associates to Pay $15 million appeared first on The White Law Group. [read post]
7 Apr 2011, 7:03 pm
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINEPawtucket, RI (Vocus/PRWEB) March 29, 2011 The Pawtucket, Rhode Island, law firm of Raymond A. [read post]
9 Feb 2010, 11:53 am
In a case involving 20 advisers in 4 branch offices, a securities arbitration panel has ordered Raymond James Associates Inc. to pay $12.1 million to Wells Fargo Advisors LLC for alleged raiding. [read post]
21 Oct 2022, 7:15 am
Separately, from January 2012 to February 2020, Raymond James and Associates and R.JFS failed to have a qualified and registered principal authorize changes to the account name or designation on more than 7,500 equity orders. [read post]
4 May 2021, 8:10 am
The claim, which was filed on August 28, 2020, is related to Sun’s previous association with Sandlapper Securities, LLC. [read post]
23 Jun 2017, 10:05 am
FINRA Fines Raymond James & Associates, Inc. $180,000 for Compliance issues According to FINRA, Raymond James & Associates, Inc. [read post]
23 Jun 2017, 10:05 am
FINRA Fines Raymond James & Associates, Inc. $180,000 for Compliance issues According to FINRA, Raymond James & Associates, Inc. [read post]
15 Nov 2023, 8:55 am
On December 17, 2021, Raymond James reportedly filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Fagan voluntarily terminated his association with the firm. [read post]
2 Feb 2021, 7:25 am
Raymond Ferro (Raymond Anthony Ferro, Jr. [read post]
30 Apr 2021, 3:58 am
There's Raymond James & Associates, Inc. [read post]
18 Mar 2019, 6:46 am
According to BrokerCheck records financial advisor George Mathis (Mathis), currently employed by Raymond James & Associates, Inc. [read post]
28 Aug 2010, 3:29 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Raymond James & Associates, Inc. and one of its registered representatives to pay $925,000 to a Texas couple who purchased $1.4 million of municipal auction rate securities issued by Jefferson County, Alabama, according to August 26th articles in InvestmentNews by Bruce Kelly (“Raymond James pays more auction rate claims”) and in the Wall Street Journal by Suzanne Barlyn… [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]
22 May 2011, 6:59 am
Tomassi Law Associates, LLC – Learn More at www.attorneyri.com article sourceGood blog posts plus Automated Content For Blog available through www.BlogDominator.com Tomassi Law Associates, LLC is a Rhode Island based law practice with offices in Wakefield, Warwick and North Providence, RI. [read post]
15 Mar 2007, 2:14 am
Doyle, sued Finance America, LLC, to recover the interest associated with a mortgage loan, which was disbursed one day late. [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]
19 Jan 2021, 8:16 am
., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [read post]
