Search for: "Raymond James "
Results 281 - 300
of 1,052
Sort by Relevance
|
Sort by Date
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 accounts, also… [read post]
22 Jul 2019, 4:40 am
We previously noted Raymond Geuss's skepticism, now here's a friendlier take from philosopher James Gordon Finlayson (Sussex). [read post]
16 Jul 2019, 6:57 pm
Only Ernest Stevens stood trial: James Stevens died, while Raymond Stevens committed suicide. [read post]
10 Jul 2019, 5:45 am
Congratulations to the following Fastcase 50 award recipients: Anette Aav, Director, IT Law Programme, University of Tartu Charlotte Alexander, Director, Legal Analytics Lab; Associate Professor, Georgia State University Jason Barnwell, Assistant General Counsel, Microsoft Raymond Bayley, CEO and Co-Founder, Novus Law LLC Kim Bennett, Founder, K Bennett Law Jess Birken, Founder, Birken Law Office Michael Bommarito, CEO and Co-Founder, LexPredict; Adjunct Professor of Law,… [read post]
10 Jul 2019, 5:45 am
Raymond Bayley, CEO and Co-Founder, Novus Law LLC. [read post]
10 Jul 2019, 4:52 am
With 34 years in the industry, he also was previously a representative for UBS Financial (UBS), Raymond James & Associates (RJF), First Union Securities, McDonald Investments Inc., Oppenheimer & Co. [read post]
9 Jul 2019, 7:48 am
Antoine, James E. and Sarah A. [read post]
3 Jul 2019, 7:11 am
” Prior to that, Jorgensen was reportedly registered with Raymond James in Smithtown, New York from February 2008 until January 2012 when he was purportedly discharged “Due to a client complaint and settlement relating to unauthorized discretion. [read post]
2 Jul 2019, 5:10 am
At the onset, Nelli looked to Raymond James Financial’s Andy Zolper, the firm’s Chief Information Security Officer and Head of Technology Infrastructure, for a rundown on the latest cyber-threats facing the broker-dealer community. [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, 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 Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc Integrated Resources Equity Corp… [read post]
26 Jun 2019, 11:05 am
Memon was an analyst in the technology investment banking groups of Raymond James & Associates and Morgan Stanley & Co., where he worked with companies on capital raising activities and mergers and acquisitions.Mr. [read post]
19 Jun 2019, 7:29 am
Raymond James reportedly denies the allegations. [read post]
16 Jun 2019, 1:01 pm
In addition to Arizona, Aaron Brian Graham is registered in 11 other U.S. states, has spent 20 years in the securities industry, and has also been registered with the following firms: Raymond James Financial Services, Inc., St. [read post]
6 Jun 2019, 6:42 am
Experts included Taylor Phelps, Senior Vice President at Raymond James, Billy Suddath, Managing Director, HCIT at Robert W. [read post]
5 Jun 2019, 1:43 pm
Mark Tudor, Raymond James Advisor Barred for Allegations of “Selling Away” Have you suffered losses investing with former financial advisor Mark Tudor and Raymond James Financial in Lake Mary, Florida? [read post]
28 May 2019, 6:09 am
Peter Rosendorff, & James Raymond Vreeland, Why Do Autocrats Disclose? [read post]
23 May 2019, 7:36 am
Cole Financial, Inc Morgan Stanley Donato, Scott Morgan Stanley Flaningan, Joel NYLife Securities LLC Synergy Investment Services LLC Johnson, Anthony Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie Norris, Timothy BMO Harris Financial Advisors, Inc HarrisDirect LLC Tudor, Mark Raymond James Financial Services, Inc … [read post]
20 May 2019, 8:24 am
Ivey – Raymond – Oak Creek Cemetery, Raymond, NE Jacob Jacoby – Lincoln – Normandy American Cemetery Howard H. [read post]
16 May 2019, 8:31 am
Health Insurance Innovations raised more than $65 million with its public offering, which used underwriters Citigroup Global Markets, Credit Suisse Securities USA, BofA Merrill Lynch, and Raymond James Financial. [read post]
16 May 2019, 7:37 am
The lawsuit’s complaint alleges that the company made false and misleading statements on several important matters, including that: A significant amount of the company’s revenue came from third parties The third parties allegedly used deceptive tactics to sell Health Insurance Innovations’ policies Regulatory inspection of the third parties would materially impact the company’s operations Health Insurance Innovations raised more than $65 million with its public offering,… [read post]
