Search for: "Raymond James and Associates"
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26 Jul 2019, 1:24 pm
Five of the firms that self-reported collectively paid over $30M in restitution: Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and retirement… [read post]
9 Mar 2012, 1:12 pm
Conversely, Raymond Niro is known to some as an ‘Original Troll’. [read post]
28 Dec 2011, 12:00 pm
New York City Police Pension Fund: Mayor Michael Bloomberg; New York City Finance Commissioner David Frankel; New York City Police Commissioner Raymond Kelly (Chair); Patrick Lynch, Patrolmen's Benevolent Association; Michael Palladino, Detectives Endowment Association; Edward D. [read post]
31 Mar 2008, 2:43 am
A reader points me to an article in the LA Times by James Q. [read post]
28 Dec 2020, 10:59 am
Previously, he was registered with Raymond James in Chippewa Falls, WI for 4 years until he was discharged for “failure to follow firm directive regarding the payment of client CPA fees,” according to his broker report. [read post]
3 Jan 2011, 9:28 am
The list includes: Bruce Balonick: Closely & Privately Held Business Law; Corporate Finance Law; Mergers & Acquisitions Law Howard Berrington: Bankruptcy & Workout Law: Commercial; Corporate Finance Law Robert Butters: Association & Non-Profit Law James Chatz: Bankruptcy & Workout Law: Commercial Thomas Conley: Health Law Michael Gesas: Bankruptcy & Workout Law: Commercial Allan Goldberg: Real Estate Law: Associations & Condominiums; Real Estate… [read post]
1 Jun 2020, 9:14 am
May, 2019: Stow was discharged from Raymond James & Associates, Inc for allegations of misappropriating funds from customer accounts. [read post]
2 Apr 2012, 11:36 am
Steyn, Silvia Trini CastelliAnimal Law.Animals, equality and democracy / Siobhan O'SullivanAntarctica.Protecting the Antarctic environment : Australia and the Minerals Convention / by Lorraine ElliottArctic.Arctic security in an age of climate change / edited by James KraskaBiodiversity.The economics of ecosystems and biodiversity in business and enterprise / edited by Joshua BishopBrownfields.Real estate transactions contaminated property mitigation/ James P. [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, Pierce, Fenner & Smith Inc… [read post]
25 Sep 2012, 5:30 am
- Melbourne Health Management Associates - Naples International Assets Holding Corp. [read post]
5 Jul 2010, 6:27 am
., Raymond James & Associates, Inc., and Robert W. [read post]
16 May 2019, 7:37 am
Scott Silver is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
3 May 2010, 8:56 pm
Raymond James Financial Services Inc., with a $36,046,959 average AUM/rep 4. [read post]
19 Jul 2023, 12:19 pm
" Reacting to the court filing, financial analyst firm Raymond James & Associates wrote in a research note, "AT&T is telling us that the total exposure is 200,000 route miles or less. [read post]
7 May 2019, 7:09 am
Managers for the public offering were William Blair and Raymond James, and the co-manager was Avondale Partners. [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]
21 Jan 2009, 12:00 pm
Stark; New York City Police Commissioner Raymond Kelly (Chair); Patrick Lynch, Patrolmen's Benevolent Association; Michael Palladino, Detectives Endowment Association; Edward D. [read post]
22 Mar 2024, 9:07 am
(CRD#:249), FORT MYERS, FLB, 02/09/2007 – 07/26/2018, RAYMOND JAMES & ASSOCIATES, INC. [read post]
13 Oct 2010, 11:00 am
Prohibited as of March 24, 2010 Frederick Boyd Case 1740/10 formerly associated with the 5th fl., 340 Morris Avenue, Patterson Houses, Bronx Edward Wright Case 1748/10 formerly associated with the 3rd fl., 383-385 East 141st Street, Mott Haven Houses, Bronx Raymond Hecker Case 1762/10 formerly associated with the 6th fl., 315 Saint James Place, Smith Houses, Manhattan Jaquan Davis Case 1739/10 formerly associated with the16th… [read post]
27 Jun 2017, 7:18 am
Erwin Chemerinsky is Dean and Raymond Pryke Professor of First Amendment Law at University of California, Irvine School of Law. [read post]
