Search for: "Raymond James and Associates" Results 21 - 40 of 439
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7 Aug 2023, 12:43 pm by GraceLegere
 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 by Jon Brodkin
" 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 by Legal Aggregate
    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]
9 Jun 2023, 12:54 pm by The White Law Group
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]
10 Apr 2023, 8:26 am by The White Law Group
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]
31 Mar 2023, 11:36 am by The White Law Group
   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 by Silver Law Group
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 by Silver Law Group
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 by D. Daxton White
   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 by qbaron
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 by Silver Law Group
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 by Jim Sedor
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]
30 Dec 2022, 7:14 am by Silver Law Group
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 by William Appleton
   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 by Jim Sedor
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 by The White Law Group
  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]