Search for: "Raymond James Financial Services, Inc."
Results 121 - 140
of 202
Sort by Relevance
|
Sort by Date
16 May 2016, 10:48 am
According to Ingros’ FINRA BrokerCheck, he was employed by RAYMOND JAMES FINANCIAL SERVICES, INC from 11/2013 – 02/2016 and MERRILL LYNCH from 05/2007 – 11/2013. [read post]
6 May 2016, 6:41 am
The top performing B-D in 2015 was Raymond James with revenues up 10.7%. [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]
19 Mar 2016, 6:06 am
Finally, from November 2013 until February 2016 Ingros was registered with Raymond James Financial Services, Inc. [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
25 Jan 2016, 8:55 am
Senior Living Panel Enn Luthringer (CRE Consultants) wrapped up the conference moderating a panel of experienced executives with extensive knowledge of senior living services and facilities, including Gregg Fous (Founder Market America Realty), Bob Bray (Chief Financial Officer Millennium Physician Group, LLC), Kevin Ahmadi (Executive Director Gulf Coast Village) and James J. [read post]
10 Dec 2015, 6:32 am
Not more than two years ago he compared RCAP to Wall Street greats Merrill Lynch and Raymond James Financial, Inc. and planned on establishing the next brokerage powerhouse. [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]
23 Sep 2015, 6:40 am
Belenis of KMS Financial Services, Inc., based out of Davis, CA. and previously of Raymond James Financial. [read post]
12 Aug 2015, 9:08 am
– $500,000 Raymond James & Associates, Inc. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
25 Jun 2015, 1:29 pm
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc… [read post]
18 Jun 2015, 12:37 pm
The FINRA Complaint alleged that the day after Waszolek was named the Widow’s residual beneficiary, he resigned from UBS 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]
29 Apr 2015, 4:07 pm
Formed in 1985, the mission of Certified Financial Planner Board of Standards, Inc. is to benefit the public by granting the CFP certification and upholding it as the recognized standard of excellence for personal financial planning. [read post]
16 Sep 2014, 7:15 am
Diaz is currently employed by IBN Financial Services, Inc., (IBN Financial) since September 2012. [read post]
3 Aug 2014, 11:34 am
TIGRENT, INC., f/k/a Whitney Information Network, Inc., a Colorado corporation, Appellee. 2 [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]
11 Mar 2014, 3:36 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond James Financial Services, Inc. (“RJFS”), and Tomlinson was an employee of both the credit union and registered with RJFS.Salary Versus CommissionIn 2008, Tomlinson learned from a magazine article that a registered representative with whom h... [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]
