Search for: "Raymond James and Associates"
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29 Oct 2009, 3:22 pm
After all, FINRA is the former "National Association of Securities Dealers," not the National Association of Securities Investors. [read post]
14 Oct 2009, 1:06 pm
(Belmont, MA; James Savas, President) Bernardino Carpentry, Corp. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60 cases);… [read post]
16 Sep 2009, 1:47 pm
(Worcester, MA; Maria Campoverde, President) Aai Communications Ltd (Fall River, MA; Raymond Reynolds, President) Abc Pizza, Inc. [read post]
17 Aug 2009, 10:44 am
(Plymouth, MA; James Baker, President) 21 Street, Inc. [read post]
19 Jul 2009, 8:30 am
New York City Police Pension Fund: Mayor Michael Bloomberg; New York City Acting Finance Commissioner Michael Hyman; New York City Police Commissioner Raymond Kelly (Chair); Patrick Lynch, Patrolmen's Benevolent Association; Michael Palladino, Detectives Endowment Association; Edward D. [read post]
17 Jul 2009, 2:29 pm
(Cambridge, MA; James Krzywicki, President) Arc Surveying & Engineering Associates, Inc. [read post]
22 Jun 2009, 7:34 pm
., Raymond James & Associates, Inc., and an RBCCMC head trader have settled charges over alleged broker misconduct connected to stock loan improprieties. [read post]
17 Jun 2009, 12:44 pm
FINRA announced that as part of its in-depth investigation of stock loan practices in the industry, it has imposed a fine of $1 million against Raymond James & Associates, Inc. of St. [read post]
27 May 2009, 3:39 pm
The defendants include: Jasper Grayson, a/k/a "Lyte," James Malloy, a/k/a "Sal" and a/k/a "Sah," Lamott Matthews a/k/a "L," Allahson Clay, a/k/a "Reefy," Albert Paulin, a/k/a "AB," Lance Paulin, a/k/a "LA," Alvin Joseph, a/k/a "Scooter," Edward Johnson, Jr., a/k/a "Big Mike," Larry Garcia, a/k/a "Spanish Larry," Raymond Penn, a/k/a "Charlie," Raven Moses, Sheena… [read post]
9 May 2009, 6:00 am
Raymond has the longest tenure, serving on the board since 1987. [read post]
8 Apr 2009, 4:49 am
By Nate Raymond in New York. [read post]
23 Mar 2009, 7:58 am
Leary and Raymond L. [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]
15 Jan 2009, 8:00 am
Stark; New York City Police Commissioner Raymond Kelly (Chair); Patrick Lynch, Patrolmen's Benevolent Association; Michael Palladino, Detectives Endowment Association; Edward D. [read post]
23 Dec 2008, 7:00 pm
Look what changes the City of New York was able to secure from a bunch of publicly traded companies: THOMPSON REPORTS ON PENSION FUNDS' 2008 SHAREHOLDER PROPOSALS New York City Comptroller William C. [read post]
2 Dec 2008, 11:24 pm
--Nate Raymond In other Churn news... [read post]
24 Oct 2008, 11:07 am
Inc. that produces $2.7 million in fees and commissions has bolted to Raymond James & Associates Inc., saying its clients are concerned about the financial stability of Merrill. [read post]
2 Oct 2008, 10:56 pm
., and Royal Alliance Associates Inc. [read post]
24 Sep 2008, 4:12 pm
"Appeals Court Rules Bucs Can Resume Fan Pat-Downs": Today's edition of The Tampa Tribune contains an article that begins, "Fans attending a Tampa Bay Buccaneers game at Raymond James Stadium could have to undergo pat-down searches in less than three weeks. [read post]
