Search for: "Raymond James and Associates"
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7 Aug 2023, 12:43 pm
Between the years of March 2009 and September 2016, Winchester was associated with LPL Financial and then later created a partnership with Raymond James. [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]
13 Jul 2023, 12:06 pm
Stanford Law School Panel Discusses History and Future of Affirmative Action On November 14, Stanford Law School (SLS) hosted a one-hour speaker panel, “The Supreme Court and the Future of Affirmative Action,” co-sponsored by the Asian and Pacific Islander Law Students Association and the Stanford Constitutional Law Center. [read post]
5 Jul 2023, 12:01 pm
Cumberbatch, Matteo Rota, James W.F. [read post]
9 Jun 2023, 12:54 pm
According to his FINRA BrokerCheck report, Benjamin was reportedly affiliated with the following firms during his career: 07/29/2020 – 04/12/2022, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
8 Jun 2023, 4:01 am
The one police constable, James Kirby, was called out. [read post]
10 Apr 2023, 8:26 am
Further, from October 2009 through August 2016, while associated with LPL and, later, with Raymond James, Winchester allegedly engaged in an outside business activity without providing prior written notice to either firm. [read post]
6 Apr 2023, 10:36 am
SIMMONS; RAYMOND BENNETT, PRESSLY M. [read post]
31 Mar 2023, 11:36 am
Former Raymond James rep, James “Eddie” Lyons, who was reportedly fired by the firm, has had numerous customer complaints filed against him for allegations of unauthorized trading. [read post]
30 Mar 2023, 2:08 pm
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 Those financial products included: Global Interest Accumulator Global Advantage Plus Series Global Advantage Select Global VIP Elite Global Index Product Northstar investors can file a FINRA arbitration against the broker and broker-dealer… [read post]
30 Mar 2023, 10:04 am
Morgan Keegan Bank Ocean Financial Services, LLC (a/k/a Ocean Bank), Morgan Securities Raymond James & Associates Raymond James Financial Services Trust Investment Services, Inc. [read post]
29 Mar 2023, 12:50 am
In September 2022, The Securities and Exchange Commission (SEC) reportedly ordered Raymond James & Associates to pay a penalty of $500,000 for allegedly failing to supervise a former registered representative who was sentenced to five years in prison last year for allegedly misappropriating more than $900,000 from two older clients from October 2015 through April 2019. [read post]
13 Mar 2023, 1:35 pm
Jackson qbaron Mon, 03/13/2023 - 15:35 The University of Chicago Law School’s Black Law Students Association (BLSA) honored Judge Raymond A. [read post]
28 Feb 2023, 7:11 am
According to FINRA Disciplinary actions for February 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Albert Aviles Reid & Rudiger LLC Spartan Capital Securities, LLC Ruth Chambers Raymond James & Associates, Inc. [read post]
24 Feb 2023, 3:00 am
Eastman for Comments About the Economic ‘Benefit’ of Child Abuse Deaths KTOO – James Brooks (Alaska Beacon) | Published: 2/22/2023 The Alaska House voted to reprimand state Rep. [read post]
21 Feb 2023, 2:38 pm
[4] See Nate Raymond, D.C. [read post]
30 Dec 2022, 7:14 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Albert Aviles Reid & Rudiger LLC Spartan Capital Securities, LLC Ruth Chambers Raymond James & Associates, Inc. [read post]
18 Nov 2022, 2:23 pm
Hyemin Han shared the Justice Department’s and former President Donald Trump’s briefs to Special Master Judge Raymond J. [read post]
11 Nov 2022, 3:00 am
Judiciary Launches Online Database of Judges’ Financial Disclosures Reuters – Nate Raymond | Published: 11/7/2022 Members of the public will be able to search federal judges’ financial disclosure reports detailing their assets and stock trades through a congressionally mandated online database that went live recently. [read post]
21 Oct 2022, 7:15 am
Separately, from January 2012 to February 2020, Raymond James and Associates and R.JFS failed to have a qualified and registered principal authorize changes to the account name or designation on more than 7,500 equity orders. [read post]
