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14 Jun 2018, 3:56 pm
Silver Law Group is investigating Wellington, Florida-based Raymond James Financial Services, Inc. [read post]
28 Jul 2010, 6:49 pm
A Financial Industry Regulatory Authority arbitration panel is ordering Raymond James & Associates Inc. and Raymond James Financial Services Inc. to buy back $2.5M in auction-rate securities from an investor. [read post]
6 Oct 2017, 1:03 pm
Lyons was formerly associated with Raymond James & Associates, Inc. [read post]
15 Nov 2023, 8:55 am
FINRA BrokerCheck Report – John Fagan According to this FINRA BrokerCheck report, John Fagan was affiliated with the following firms during his career, among others: B, 11/11/2011 – 12/31/2021, RAYMOND JAMES & ASSOCIATES, INC. [read post]
27 Jan 2020, 1:42 pm
(CRD#: 7110), Integrated Resources Equity Corporation (CRD#: 6403), Dean Witter Reynolds Inc. [read post]
14 Oct 2011, 12:51 pm
It is an independent contractor firm that also does business through Raymond James andamp; Associates Inc., an affiliated company. [read post]
18 Sep 2019, 8:19 am
Raymond James Settles SEC Charges for Improper Advisory Fees According to a press announcement yesterday, Raymond James & Associates, a unit of Raymond James Financial Inc., has agreed to pay $15 million to settle charges it improperly charged advisory fees on inactive retail client accounts and charged excess commissions for some brokerage customer investments. [read post]
3 May 2018, 1:49 pm
He was previously employed by Morgan Keegan & Company, Inc. [read post]
17 Dec 2018, 6:34 am
Pirrello was most recently registered at Garden State Securities, Inc in Hackensack, New Jersey from August 14, 2008 until May 20, 2016, FINRA reports. [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]
18 Oct 2021, 6:52 am
(Collier), currently employed by Raymond James Financial Services, Inc. [read post]
21 Dec 2018, 1:07 pm
According to BrokerCheck records financial advisor Maria Hendershott (Hendershott), currently employed by Raymond James & Associates, Inc. [read post]
27 Jul 2018, 7:53 am
According to BrokerCheck records financial advisor Matthew Werthe (Werthe), employed by Raymond James Financial Services, 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]
15 Sep 2021, 5:47 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Eric Bachinsky (Bachinsky), currently employed by Raymond James & Associates, Inc. [read post]
12 Jan 2012, 7:37 am
It is being reported that Raymond James Financial, Inc. has agreed to acquire Morgan Keegan & Company. [read post]
29 Jan 2008, 11:20 pm
Lowers compliance burden, mitigates risk for Raymond James Branch Managers and Financial Advisors NEW YORK--(BUSINESS WIRE)--Orchestria, the leader in the rapidly growing Electronic Control software category, today announced that financial services firm Raymond James Financial, Inc. [read post]
18 Jun 2015, 12:37 pm
On June 11, 2015, the Department of Enforcement for the Financial Industry Regulatory Authority (“FINRA”) initiated disciplinary proceedings against John Waszolek (“Waszolek”), a Raymond James & Associates, Inc. [read post]
1 Oct 2011, 4:08 pm
(RJA) and Raymond James Financial Services, Inc. [read post]
3 Feb 2019, 9:45 am
According to BrokerCheck records financial advisor Steven Reznik (Reznik), formerly employed by Raymond James Financial Services, Inc. [read post]
