Search for: "Raymond James "
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17 Dec 2014, 7:12 am
James C. [read post]
7 Dec 2014, 12:21 pm
All practice, no theory.Copyright Litigation Handbook (Thomson Reuters Westlaw 2012-2013) by Raymond J. [read post]
26 Nov 2014, 7:51 am
H/t Dean Margaret Raymond. [read post]
Vreeland & Dreher: The Political Economy of the United Nations Security Council: Money and Influence
12 Nov 2014, 3:03 am
James Raymond Vreeland (Georgetown Univ.) [read post]
24 Oct 2014, 2:12 pm
He worked with BB&T Investment Services from 03/2000 – 06/2001, Cuso Financial Services 06/2001 – 04/2005, Raymond James Financial Services 04/2005 – 11/2007, Cuna Brokers Services 11/2007 – 01/2013, and again with Cuso from 01/2013 – 08/2014. [read post]
17 Oct 2014, 7:51 am
According to his FINRA Broker Report, Vaught was registered with Raymond James Financial Services from January 2005 through February 2014. [read post]
9 Oct 2014, 11:00 am
Stark (UCLA) has been named Barrall Family Professor of Tax Law and Policy at UCLA: James D. [read post]
6 Oct 2014, 4:02 pm
In addition to working with Raymond James, Ms. [read post]
25 Sep 2014, 8:30 am
MGM and Danjaq, the producer of the James Bond films, sued Universal alleging that the script and plot are based on James Bond. [read post]
16 Sep 2014, 7:15 am
On or about November 21, 2002, Edward Jones fired Diaz for providing inaccurate information during a supervisory review, was terminated by Raymond James Financial Services, Inc. because it was “no longer comfortable supervising”, was permitted to resign on April 1, 2009, by First Allied Securities, Inc. because he had a history of customer complaints and administrative infractions., was fired by SII Investments, Inc. for unauthorized trading, was fired by Kovack… [read post]
18 Aug 2014, 10:20 am
According to his FINRA Broker Report, Foerster was registered with Morgan Keegan from February 2008 through February 2013 and Raymond James from February 2013 through June 2014. [read post]
17 Aug 2014, 9:00 pm
James Jay Carafano, Colonel Richard J. [read post]
3 Aug 2014, 11:34 am
Five days left to vote for The Appellate Gourmet(c) Blog! [read post]
29 Jul 2014, 3:38 am
In today's BrokeAndBroker.com Blog, we consider the problems of an apparent victory in which it looked like a registered representative had favorably settled her claims against Raymond James.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in Ma... [read post]
24 Jul 2014, 2:27 pm
According to FA Magazine, Raymond James Financial Services (RJFS) has filed a lawsuit against former broker, Jo Ellen Fisher, for allegedly diverting nearly $1.5 million away from an elderly client’s brokerage account. [read post]
8 Jul 2014, 6:17 am
Thereafter, and until June 2014, Foerster was last associated with Raymond James & Associates, Inc., (Raymond James) when his registration was terminated based on the conduct described by FINRA in the AWC. [read post]
7 Jul 2014, 10:27 am
Inc. beginning in 2008 and came to Raymond James last February. [read post]
2 Jul 2014, 7:01 am
Inc. in 2008 and came to Raymond James on February 2013. [read post]
2 Jul 2014, 5:00 am
Raymond 113,500 170,000 - 20,000 303,500 William C. [read post]
1 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: According to a survey by InvestmentNews for 2013, the top five Independent broker-dealers firms ranked by total account assets are: LPL Financial, with total account assets of $437,906.7 M Raymond James Financial Services Inc., with total account assets of $191,660.5M Northwestern Mutual, with total account assets of $100,090.9M Commonwealth Financial Network, with total account assets of $85,992.0M… [read post]
