Search for: "Raymonde, LLC" Results 1 - 20 of 553
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2 Oct 2023, 8:11 am by Unreported Opinions
Contracts — Arbitration — Contingent legal fees Appellant Slocumb Law Firm, LLC (“Slocumb”) represented Appellee Raymond R. [read post]
3 Jan 2024, 10:16 am by Daily Record Staff
Gordon Feinblatt LLC is pleased to announce that Raymond Daniel Burke has joined the firm’s Real Estate & Litigation Groups. [read post]
15 Jan 2019, 7:19 am by Silver Law Group
Previous employment included Wells Fargo Advisors, LLC from Jan 2008 to November 2011, Wachovia Securities, LLC from January 2008 to May 2009 and A. [read post]
15 Jul 2015, 11:07 am by Lax & Neville LLP
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]
21 Oct 2022, 7:15 am by The White Law Group
Raymond James Reps Allegedly Schemed to Overcharged Customers  According to public records, the Financial Industry Regulatory Authority (FINRA) censured and fined Raymond James Financial Services (RJFS) for supervisory failures and other rules violations. [read post]
Eccleston Law has learned that the SEC has recently charged Raymond Morris, James Haley, Jay Linford, attorney Luc Nguyen, E&R Holdings, LLC, Wise Financial Holdings, LLC, Momentum Leasing, LLC, Cornerstone Capital Fund, LLC, Vantage Point Capital, LLC, and Freedom Group, LLC with unregistered fraudulent offers, sales and purchases of securities. [read post]
7 Feb 2010, 6:45 am by Mark J. Astarita, Esq.
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]
28 Jan 2022, 12:55 pm by Shepherd Smith Edwards & Kantas, LLP
Northstar Bermuda Claimants Seek Up To $500K in Damages For Their Losses Three investors have filed a FINRA arbitration claim against Raymond James Financial Services and Copper Financial (also known as Community America Financial Solutions, LLC). [read post]
15 Nov 2023, 8:55 am by The White Law Group
          The post John Fagan, Raymond James, Barred by FINRA  appeared first on The White Law Group. [read post]
7 Apr 2011, 7:03 pm by Tomassi Law Associates
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]
18 Aug 2021, 5:55 am by Unreported Opinions
Worsham (“Worsham”), appellant, filed a complaint against Raymond C. [read post]
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]
11 Sep 2020, 4:37 am by Alan Rosca
The indictment list the following: Sageguard, LLC; Sageguard Consulting, LLC; Sageguard Sourcing, LLC; Sageguard  Technology, LLC; Sageguard Venture, LLC; Sageguard Solutions, LLC; and Sageguard Wealth  Management, Inc. [read post]
11 Sep 2020, 4:37 am by Alan Rosca
The indictment list the following: Sageguard, LLC; Sageguard Consulting, LLC; Sageguard Sourcing, LLC; Sageguard  Technology, LLC; Sageguard Venture, LLC; Sageguard Solutions, LLC; and Sageguard Wealth  Management, Inc. [read post]
4 May 2021, 8:10 am by Iorio Altamirano
FINRA expelled Sandlapper Securities, LLC from the securities industry in June 2020. [read post]
23 Feb 2023, 10:04 am by David Cosgrove
Case Summary:             In October 2018, Kent Jackson Rhoades left his job at Wells Fargo Advisors, LLC in Mountain Home, Arkansas to start an independent financial consulting firm with Raymond James Financial Services, Inc. [read post]
17 Dec 2015, 5:51 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Raymond James recently confirmed industry speculations with the acquisition of Deutsche Bank for around $420 million. [read post]
18 Sep 2019, 8:19 am by Renae Lloyd
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]