Search for: "Raymond James Financial Services, Inc."
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27 Nov 2013, 7:00 am
See Raymond James Financial Services Inc. v. [read post]
28 Mar 2023, 12:15 pm
Todd Seymour (Todd Michael Seymour CRD# 3249733) is a previously registered broker and currently registered investment advisor last employed with Raymond James Financial Services, Inc. [read post]
20 Jun 2013, 5:53 am
From 2002 until August 29, 2011, he was registered with FINRA member firm Raymond James Financial Services, Inc. (“RJFS”).2012 State ActionThe AWC indicates Urovsky’s prior disciplinary history as including a Maryland Securities Commissioner issued a Consent Order (Docket No. 2011-0413, March 1, 2012) against Urovsky t... [read post]
10 Mar 2014, 6:04 am
Rauguth, Respondent (AWC 2013036434901, March 4, 2014).From 1997 through March 22, 2013, Rauguth was associated with FINRA member firm Raymond James Financial Services, Inc. (“RJFS”). [read post]
7 May 2019, 7:09 am
Managers for the public offering were William Blair and Raymond James, and the co-manager was Avondale Partners. [read post]
6 Apr 2016, 10:23 am
Bradford & Co., Citigroup Global Markets Inc., and Morgan Keegan & Co. before he was let go from Raymond James in June of 2014.If Foerster is subject to the maximum penalty for his wire fraud, he could face 20 years behind bars and a $250,000 fine. [read post]
5 Apr 2013, 5:45 am
In Raymond James Financial Services, Inc. and Timothy Carl Satre v. [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… [read post]
8 Aug 2018, 12:25 pm
He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. [read post]
4 Nov 2015, 11:09 am
They were fined a cumulative total of $18.4 million according to FINRA’s most recent announcement.This follows a similar type of case three months earlier in which Wells Fargo, Raymond James, and LPL Financial were fined a combined $30 million for improper charging of fees. [read post]
1 Jul 2019, 12:43 pm
Kohn & Company Rumayor, Juan Farmers Financial Solutions, LLC HSBS Securities (USA) Inc Salcedo, Alex Scottrade, Inc Wells Fargo Clearing Services, LLC Webb, James Jr. [read post]
22 Apr 2024, 12:35 pm
Mitchell Roby Wells Fargo Clearing Services, LLC Raymond James Financial Services, Inc. [read post]
10 Nov 2021, 1:14 pm
The company offers a variety of services for students, including textbooks, study, writing, and math subscription services. [read post]
19 Feb 2021, 11:25 am
(CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. [read post]
22 Jun 2018, 6:52 pm
From 2009 to 2017, Vaccaro was registered with Raymond James Financial Services, Inc. [read post]
17 Feb 2008, 11:24 pm
James F. [read post]
9 Jul 2018, 12:37 pm
Timothy Stephen Fannin UBS Financial Services Inc. [read post]
14 Oct 2017, 12:12 pm
In February 2017 Capin was permitted to resign from Raymond James Financial Services, Inc. [read post]
29 May 2015, 10:48 am
Financial regulation can encourage or inhibit financial markets’ ability to provide the financial products and services necessary to support a vigorous, dynamic economy. [read post]
6 Jun 2021, 5:28 pm
” In its SEC filing, Intapp describes itself as “the industry cloud for professional and financial services firms. [read post]
