Search for: "Raymond James Financial, Inc."
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4 Nov 2015, 11:09 am
They were fined a cumulative total of $18.4 million according to FINRA’s most recent announcement.This follows a similar type of case three months earlier in which Wells Fargo, Raymond James, and LPL Financial were fined a combined $30 million for improper charging of fees. [read post]
22 Jun 2018, 6:52 pm
From 2009 to 2017, Vaccaro was registered with Raymond James Financial Services, Inc. [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]
24 Dec 2019, 8:12 am
Debra Rae Lambert (CRD: 2238553) is a previously registered broker and investment advisor whose last employer was Raymond James & Associates, Inc. [read post]
19 Mar 2016, 6:06 am
Finally, from November 2013 until February 2016 Ingros was registered with Raymond James Financial Services, Inc. [read post]
19 Feb 2021, 11:25 am
(CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. [read post]
4 May 2011, 7:40 pm
Inc. [read post]
19 Apr 2024, 1:23 pm
Riley Wealth Management Raymond James & Associates, Inc. [read post]
30 Mar 2023, 2:08 pm
Ocean Financial Services Raymond James & Associates Raymond James Financial Services Suntrust Investment Services Truist Investment Services United Nations Federal Credit Union (UNFCU) Unionbanc Investment Services Those financial products included: Global Interest Accumulator Global Advantage Plus Series Global Advantage Select Global VIP Elite Global Index Product Northstar investors can file a FINRA arbitration against the broker… [read post]
17 Oct 2023, 7:25 am
Ocean Financial Services Raymond James & Associates Raymond James Financial Services Suntrust Investment Services Truist Investment Services United Nations Federal Credit Union (UNFCU) Unionbanc Investment Services Greg Lindberg Northstar Financial Services (Bermuda) was one of several insurance companies bought by financier Greg Lindberg in 2018 through his Bermuda holding companies. [read post]
22 Dec 2014, 7:57 pm
The wrongful death action naming Safeway Inc. as the defendant was filed by James Raymond Frey on behalf of his late wife, Shirlee Jean Frey, 81, and her estate. [read post]
2 Oct 2008, 10:56 pm
The unnamed source is also predicting that Liddy will retain the services of a Wall Street company to conduct a quiet auction for the broker-dealers and that aggressive bids from different firms, including Raymond James and LPL Financial are likely. [read post]
14 Oct 2017, 12:12 pm
In February 2017 Capin was permitted to resign from Raymond James Financial Services, Inc. [read post]
12 Jan 2019, 6:06 am
In October 2018 Faust was terminated by Raymond James & Associates, Inc. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch,… [read post]
9 Jul 2018, 12:37 pm
According to FINRA Disciplinary actions for June 2018, 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 Daniel Harry Curkan Sigma Financial Corporation Morgan Stanley Diaz, Anthony IBN Financial Services, Inc Sandlapper Securities, LLC Brandon Avery Duncan Royal Alliance Associates,… [read post]
5 Jan 2024, 1:41 pm
Armando Wood Raymond James & Associates, Inc. [read post]
6 Jun 2021, 5:28 pm
Morgan, BofA Securities and Credit Suisse will act as lead book-running managers for the proposed offering, with Piper Sandler and Raymond James acting as joint book-running managers. [read post]
16 Nov 2016, 7:59 am
Inc. in 2008 and came to Raymond James in 2013. [read post]
