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10 Apr 2008, 10:01 pm
” by Aimee Waite, a Financial Advisor with Raymond James & Associates. [read post]
15 Apr 2014, 7:19 am
From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA enforcement has sanctioned a Wells Fargo Advisor with a 90-day suspension for taking more information than is allowed when he left a credit union affiliated with Raymond James Financial Services to join Wells Fargo Advisors (then Wachovia Securities) in late November 2008. [read post]
6 Apr 2016, 10:23 am
Bradford & Co., Citigroup Global Markets Inc., and Morgan Keegan & Co. before he was let go from Raymond James in June of 2014.If Foerster is subject to the maximum penalty for his wire fraud, he could face 20 years behind bars and a $250,000 fine. [read post]
29 Dec 2014, 1:55 pm
The Lawsuit: We filed a wrongful death lawsuit against Safeway Inc, in the Superior Court of Santa Cruz on behalf of James Raymond Frey, 87, and the estate of his deceased wife, Shirlee Jean Frey, 81, who died tragically on December 2, 2014 after consuming a Listeria-tainted caramel apple purchased at the Safeway in Felton, California. [read post]
18 Apr 2007, 5:58 am
In two previous courtrooms, a state judge and a federal judge focused on whether pat-down searches of ticket holders at Raymond James Stadium were a violation of the state and U.S. constitutions. [read post]
22 Feb 2012, 1:26 pm
Venable (via Raymond Ward), James Venable was indicted on the charge of possessing a firearm while being a felon. [read post]
22 Apr 2024, 12:35 pm
Raymond James & Associates, Inc. [read post]
28 May 2019, 6:09 am
Peter Rosendorff, & James Raymond Vreeland, Why Do Autocrats Disclose? [read post]
20 Jun 2013, 5:53 am
From 2002 until August 29, 2011, he was registered with FINRA member firm Raymond James Financial Services, Inc. (“RJFS”).2012 State ActionThe AWC indicates Urovsky’s prior disciplinary history as including a Maryland Securities Commissioner issued a Consent Order (Docket No. 2011-0413, March 1, 2012) against Urovsky t... [read post]
1 Aug 2022, 4:04 am
Respondent Raymond James did not opposed the requested relief. [read post]
10 Mar 2014, 6:04 am
Rauguth, Respondent (AWC 2013036434901, March 4, 2014).From 1997 through March 22, 2013, Rauguth was associated with FINRA member firm Raymond James Financial Services, Inc. (“RJFS”). [read post]
11 Mar 2014, 3:36 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond James Financial Services, Inc. (“RJFS”), and Tomlinson was an employee of both the credit union and registered with RJFS.Salary Versus CommissionIn 2008, Tomlinson learned from a magazine article that a registered representative with whom h... [read post]
30 Apr 2021, 3:58 am
Former Raymond Jame... [read post]
4 Jan 2017, 7:53 pm
For The Guardian, Max Décharné, musician (Gallon Drunk, The Flaming Stars) and author (the forthcoming Vulgar Tongues: An Alternative History of English Slang) offers this list of the "ten best slangy crime novels," which includes not simply some well known titles (Dorothy Sayers's Murder Must Advertise, Raymond Chandler's Farewell, My Lovely, and Chester Himes's If He Hollers Let Him Go) and some semi-well known titles (Dashiell… [read post]
12 Jul 2018, 3:55 am
In today's BrokeAndBroker.com Blog, we feature a FINRA arbitration in which a public customer seeks at least $2 million in damages against Raymond James. [read post]
10 Oct 2022, 4:49 am
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc. for $24,280,829.20… [read post]
14 May 2021, 4:09 am
Raymond James Financial Services, Respondent (FINRA Arbitration Award 20-02776)FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks (BrokeAndBroker.com Blog)... [read post]
6 Mar 2013, 6:37 am
Lamla, & James Raymond Vreeland, Extreme Bounds of Democracy Michael Albertus & Oliver Kaplan, Land Reform as a Counterinsurgency Policy: Evidence from Colombia Tamir Sheafer & Shaul Shenhav, Political Culture Congruence and Political Stability: Revisiting the Congruence Hypothesis with Prospect Theory Douglas M. [read post]
8 Jan 2015, 9:25 am
Miller, Questioning the Effect of Nuclear Weapons on Conflict Roni Porat, Eran Halperin, & Daniel Bar-Tal, The Effect of Sociopsychological Barriers on the Processing of New Information about Peace Opportunities Axel Dreher, Jan-Egbert Sturm, & James Raymond Vreeland, Politics and IMF Conditionality [read post]
22 Sep 2022, 12:18 pm
Special Master Raymond J. [read post]
