Search for: "Raymond James "
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23 Jun 2021, 1:05 pm
Raymond Randolph Judge Neomi Rao Prof. [read post]
28 Dec 2020, 10:59 am
Previously, he was registered with Raymond James in Chippewa Falls, WI for 4 years until he was discharged for “failure to follow firm directive regarding the payment of client CPA fees,” according to his broker report. [read post]
4 Sep 2012, 10:58 am
Raymond James Fin. [read post]
7 Jan 2013, 4:04 am
Supreme Court against Respondents Raymond James Financial Services, Inc. and its branch manager, John Dwight Wanken, seeking review of the Fifth Circuit decision on Wanken v. [read post]
12 Jan 2012, 3:48 pm
Speaking for the Teamsters, Dennis Raymond wants the financial sacrifice to be shared by everyone, not just the union employees. [read post]
19 Jan 2012, 2:03 pm
Read the SEC's Order Against UBS (PDF) More Blog Posts: SIFMA Wants FINRA to Take Tougher Actions Against Brokers that Don’t Repay Promissory Notes, Institutional Investor Securities Blog, January 17, 2012 Raymond James Financial to Buy Morgan Keegan from Regions Financial for $930 Million, Institutional Investor Securities Blog, January 14, 2012 $78M Insider Trading Scam: "Operation Perfect Hedge” Leads to Criminal Charges for Seven Financial Industry… [read post]
19 Mar 2019, 11:18 am
Here is a partial list of some of the investment advisers involved in this case: AXA Advisors BOK Financial Securities Americas Investment Deutsche Bank Securities First National Capital Markets Raymond James Financial Services Advisors Investor Advisory Services Kepstra Advisory Services LPL Financial Coastal Investment Advisers Robert W. [read post]
21 Oct 2011, 5:00 am
Bauer • Orange County Judge James P. [read post]
11 May 2012, 10:27 am
Sullivan of the New York Post report James David Martin was arraigned this week in Bronx Criminal Court on murder, rape, and sodomy charges for the strangling of a 14-year-old girl in 1998. [read post]
2 Jul 2010, 6:30 am
Bloomberg, Police Commissioner Raymond W. [read post]
29 Oct 2009, 3:22 pm
The fourteen participating firms with their case limits in parentheses are: Ameriprise Financial Services (18), Charles Schwab (10), Chase Investment Services (10), Citigroup Global Markets (60), Edward Jones (18), Fidelity Brokerage Services (10), LPL Financial (10), Merrill Lynch (60), Morgan Stanley Smith Barney (60), Oppenheimer (15), Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors (60). [read post]
20 Apr 2012, 8:23 am
A hearty katpat to James Gray (Withers & Rogers LLP) for this lead. [read post]
15 Oct 2010, 7:07 am
Immigration and Customs Enforcement; JAMES T. [read post]
25 Dec 2014, 9:42 am
., in the Superior Court of Santa Cruz on behalf of James Raymond Frey, 87, and the estate of his deceased wife, Shirlee Jean Frey, 81, who died tragically on December 2, 2014 after consuming a Listeria-tainted Happy Apple caramel apple purchased at the Safeway in Felton, California. [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]
15 Aug 2024, 8:48 am
., L.P. agreed to pay a $50 million penalty LPL Financial LLC agreed to pay a $50 million penalty Raymond James & Associates, Inc. agreed to pay a $50 million penalty RBC Capital Markets, LLC agreed to pay a $45 million penalty BNY Mellon Securities Corporation, together with Pershing LLC, agreed to pay a $40 million penalty TD Securities (USA) LLC, together with TD Private Client Wealth LLC and Epoch Investment Partners, Inc., agreed to pay a $30 million penalty… [read post]
5 Sep 2024, 6:10 am
., L.P. agreed to pay a $50 million penalty LPL Financial LLC agreed to pay a $50 million penalty Raymond James & Associates, Inc. agreed to pay a $50 million penalty RBC Capital Markets, LLC agreed to pay a $45 million penalty BNY Mellon Securities Corporation, together with Pershing LLC, agreed to pay a $40 million penalty TD Securities (USA) LLC, together with TD Private Client Wealth LLC and Epoch Investment Partners, Inc., agreed to pay a $30 million penalty Osaic… [read post]
12 Jul 2011, 2:59 am
Raymond said, "I think FSIS just blew a chance to make beef even safer than it is right now. [read post]
18 Dec 2010, 3:38 am
Raymond A. [read post]
14 Jul 2011, 1:17 pm
A specilialized reference work, The Shakespeare First Folio by Anthony James West was consulted by the librarians as the most current census of First Folios which are located around the globe and it identified some of the unique characteristics of the Durham Folio which could be compared with the book that had landed at the Folger. [read post]
