Search for: "Raymond & Associates LLC"
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9 Jun 2023, 12:54 pm
(CRD#:6694), ST PETERSBURG, FL, B, 02/01/2013 – 07/02/2020, PRUCO SECURITIES, LLC. [read post]
30 Apr 2023, 9:05 pm
Richard Allen Raymond from July 2003-January 2009; Elsa A. [read post]
21 Apr 2023, 4:00 am
Since that time, however, Thomas has continued to report income from the defunct company – between $50,000 and $100,000 annually in recent years – and there is no mention of the newer firm, Ginger Holdings, LLC, on the forms. [read post]
10 Apr 2023, 8:26 am
Further, from October 2009 through August 2016, while associated with LPL and, later, with Raymond James, Winchester allegedly engaged in an outside business activity without providing prior written notice to either firm. [read post]
6 Apr 2023, 10:36 am
SIMMONS; RAYMOND BENNETT, PRESSLY M. [read post]
31 Mar 2023, 11:36 am
Former Raymond James rep, James “Eddie” Lyons, who was reportedly fired by the firm, has had numerous customer complaints filed against him for allegations of unauthorized trading. [read post]
30 Mar 2023, 10:04 am
Morgan Keegan Bank Ocean Financial Services, LLC (a/k/a Ocean Bank), Morgan Securities Raymond James & Associates Raymond James Financial Services Trust Investment Services, Inc. [read post]
29 Mar 2023, 12:50 am
In September 2022, The Securities and Exchange Commission (SEC) reportedly ordered Raymond James & Associates to pay a penalty of $500,000 for allegedly failing to supervise a former registered representative who was sentenced to five years in prison last year for allegedly misappropriating more than $900,000 from two older clients from October 2015 through April 2019. [read post]
27 Mar 2023, 9:01 pm
Although the number of securities lawsuits filed this year remained steady compared to 2021, we have seen many notable developments in securities law. [read post]
28 Feb 2023, 7:11 am
According to FINRA Disciplinary actions for February 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Albert Aviles Reid & Rudiger LLC Spartan Capital Securities, LLC Ruth Chambers Raymond James & Associates, Inc. [read post]
24 Feb 2023, 3:00 am
National/Federal Trump Spent $10 Million From His PAC on His Legal Bills Last Year DNyuz – Maggie Haberman (New York Times) | Published: 2/21/2023 Former President Trump spent roughly $10 million from his PAC, Save America, on his own legal fees last year. [read post]
30 Dec 2022, 7:14 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Albert Aviles Reid & Rudiger LLC Spartan Capital Securities, LLC Ruth Chambers Raymond James & Associates, Inc. [read post]
15 Nov 2022, 2:22 pm
DCH & Associates, LLC et al. [read post]
11 Nov 2022, 3:00 am
Judiciary Launches Online Database of Judges’ Financial Disclosures Reuters – Nate Raymond | Published: 11/7/2022 Members of the public will be able to search federal judges’ financial disclosure reports detailing their assets and stock trades through a congressionally mandated online database that went live recently. [read post]
8 Nov 2022, 2:34 pm
Bromberg was a Partner at Quinn Emanuel Urquhart & Sullivan LLC from 2005 to 2019 and was a Partner and Associate at Jones Day from 1994 to 2005. [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]
20 Sep 2022, 6:27 am
Harbor Suites LLC, 2022 WL 4234960, (9th Cir. [read post]
24 Mar 2022, 12:15 pm
Samsung lost a series of five chip inter partes reviews (IPRs) at institution against an LED Wafer Solutions LLC (apparently associated with Oso IP) on the merits (they and Seoul Semiconductor were the only two plaintiffs yet sued); PPC Broadband got some IPRs from Amphenol based in large part on family members having been cancelled earlier in reexam on the same grounds; Raymond Anthony Joao entity Beteiro LLC filed a few further cases; Caselas, another of his… [read post]
27 Dec 2021, 7:12 am
Sean Martin Raymond James & Associates, Inc. [read post]
12 Dec 2021, 2:22 pm
Credit Suisse Securities (USA) LLC, 752 F.3d 82, 89 (1st Cir. 2014) (affirming exclusion of expert witness who failed to account for confounding in event studies), aff’g 853 F. [read post]
