Search for: "Raymond James and Associates"
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25 Sep 2019, 10:41 pm
The resorts ended up in receivership, and Quiros and Stegner were accused of having diverted investor funds, with the assistance of a registered representative at the investment bank of Raymond James & Associates, Inc. [read post]
18 Sep 2019, 8:19 am
The post Raymond James & Associates to Pay $15 million appeared first on The White Law Group. [read post]
4 Sep 2019, 8:42 am
Raymond James served as a buyside financial advisor to TCV for this investment. [read post]
12 Aug 2019, 1:00 am
Storms entered the securities industry as a compliance intern in 2005 with FINRA member firm Raymond James & Associates, Inc. [read post]
2 Aug 2019, 9:09 am
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
2 Aug 2019, 9:09 am
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
30 Jul 2019, 11:04 pm
Harris is president and CEO of the Southwest Meat Association (SMA). [read post]
26 Jul 2019, 1:24 pm
Five of the firms that self-reported collectively paid over $30M in restitution: Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and retirement… [read post]
16 Jul 2019, 6:57 pm
Only Ernest Stevens stood trial: James Stevens died, while Raymond Stevens committed suicide. [read post]
10 Jul 2019, 5:45 am
Raymond Bayley, CEO and Co-Founder, Novus Law LLC. [read post]
10 Jul 2019, 5:45 am
The honorees for the Fastcase 50 Class of 2019 represent a diverse group of lawyers, legal technologists, law librarians, bar association leaders, and people who are passionate about reforming and automating the law. [read post]
10 Jul 2019, 4:52 am
With 34 years in the industry, he also was previously a representative for UBS Financial (UBS), Raymond James & Associates (RJF), First Union Securities, McDonald Investments Inc., Oppenheimer & Co. [read post]
9 Jul 2019, 7:48 am
Antoine, James E. and Sarah A. [read post]
3 Jul 2019, 7:11 am
” Prior to that, Jorgensen was reportedly registered with Raymond James in Smithtown, New York from February 2008 until January 2012 when he was purportedly discharged “Due to a client complaint and settlement relating to unauthorized discretion. [read post]
2 Jul 2019, 5:10 am
At the onset, Nelli looked to Raymond James Financial’s Andy Zolper, the firm’s Chief Information Security Officer and Head of Technology Infrastructure, for a rundown on the latest cyber-threats facing the broker-dealer community. [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc Integrated Resources… [read post]
26 Jun 2019, 11:05 am
Memon was an analyst in the technology investment banking groups of Raymond James & Associates and Morgan Stanley & Co., where he worked with companies on capital raising activities and mergers and acquisitions.Mr. [read post]
5 Jun 2019, 1:43 pm
Mark Tudor, Raymond James Advisor Barred for Allegations of “Selling Away” Have you suffered losses investing with former financial advisor Mark Tudor and Raymond James Financial in Lake Mary, Florida? [read post]
16 May 2019, 8:31 am
Health Insurance Innovations raised more than $65 million with its public offering, which used underwriters Citigroup Global Markets, Credit Suisse Securities USA, BofA Merrill Lynch, and Raymond James Financial. [read post]
16 May 2019, 7:37 am
Scott Silver is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
