Search for: "Raymond James "
Results 61 - 80
of 1,071
Sort by Relevance
|
Sort by Date
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]
27 Feb 2023, 4:00 am
United States, two black motorists, Mike Whren and James Brown, were stopped for traffic offenses by plainclothes vice-squad District of Columbia police officers. [read post]
24 Feb 2023, 5:16 am
’” The most comprehensive study of state ratification of the 14th Amendment, Joseph James’s “Ratification of the Fourteenth Amendment” does not point to a single example of any journalist or participant in a state convention who distinguished between “officers under” and “officers of” or who otherwise thought a president who participated in an insurrection could not be disqualified under Section 3. [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]
23 Feb 2023, 10:04 am
Wells Fargo sought damages, costs and fees against Raymond James Financial Services, Kent Jackson Rhoades and the 12-person team that collectively moved from Wells Fargo to Raymond James Financial Services. [read post]
21 Feb 2023, 2:38 pm
[4] See Nate Raymond, D.C. [read post]
10 Feb 2023, 7:04 am
Flynn, and Chuck Callan, Broadridge, on Thursday, February 9, 2023 Tags: Clawbacks, Corporate governance, ESG, Proxy voting, Say on pay, SEC Outlook for Activism in 2023 Posted by James E. [read post]
10 Feb 2023, 7:04 am
Flynn, and Chuck Callan, Broadridge, on Thursday, February 9, 2023 Tags: Clawbacks, Corporate governance, ESG, Proxy voting, Say on pay, SEC Outlook for Activism in 2023 Posted by James E. [read post]
13 Jan 2023, 4:35 am
– Hillenbrand – Raymond James Financial, Inc. [read post]
4 Jan 2023, 8:37 am
Linder, written by Judge Raymond Gruender and joined by Judges James Loken and Steven Grasz: James Brown and Marc Linder both work for the State of Iowa. [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]
22 Nov 2022, 5:27 pm
Thanking the court, Joshi treads away from the lectern as Trump’s counsel, James Trusty, rises from the table where he has been sitting alongside Lindsey Halligan and Evan Corcoran. [read post]
19 Nov 2022, 8:29 am
” The two Raymond James representatives, a father-and-son team, worked in a Raymond James branch office in Mercer Island, Washington, FINRA stated. [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, 4:20 am
James C. [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
Raymond James Reps Allegedly Schemed to Overcharged Customers According to public records, the Financial Industry Regulatory Authority (FINRA) censured and fined Raymond James Financial Services (RJFS) for supervisory failures and other rules violations. [read post]
10 Oct 2022, 11:28 am
Raymond James, without admitting or denying the SEC’s findings, consented to the penalty and a censure to settle the dispute. [read post]
10 Oct 2022, 4:49 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6707/securities-industry-commentator/FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com… [read post]
10 Oct 2022, 4:49 am
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc. for $24,280,829.20… [read post]
