Search for: "RAYMOND JAMES "
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17 Jun 2009, 12:44 pm
FINRA announced that as part of its in-depth investigation of stock loan practices in the industry, it has imposed a fine of $1 million against Raymond James & Associates, Inc. of St. [read post]
31 Jul 2016, 11:34 pm
Raymond James wealth management group has published a 5 page document for clients that explains special needs trusts. [read post]
2 Nov 2009, 3:55 pm
The friend, who did not want to be identified, said Raymond James Duensing, was shot by police several times causing him to receive injuries to his back and arm. [read post]
12 Oct 2019, 8:04 am
(Raymond James). [read post]
27 Mar 2008, 5:02 am
She is Fawn James, Raymond's granddaughter. [read post]
22 Mar 2021, 8:20 am
Prior to the bar, he was previously in the employment of Raymond James & Associates between February 2013 and May 2017; and Morgan Keegan & Company between August 1993 and February 2013. [read post]
22 Mar 2021, 8:20 am
Prior to the bar, he was previously in the employment of Raymond James & Associates between February 2013 and May 2017; and Morgan Keegan & Company between August 1993 and February 2013. [read post]
23 Sep 2009, 12:27 am
Because Raymond James has not entered a regulatory settlement, the defendants in the Raymond James auction rate securities case were unable to seek dismissal on the same "absence of recoverable damages" theory as did the defendants in the Northern Trust and UBS cases. [read post]
8 Sep 2016, 10:45 am
-based Raymond James & Associates and Milwaukee-based Robert W. [read post]
26 Nov 2014, 7:51 am
H/t Dean Margaret Raymond. [read post]
13 Mar 2024, 1:02 pm
“Conservative US judges criticize new rule curbing ‘judge shopping’; 5th Circuit Judges Edith Jones, James Ho issue critical statements; 5th Circuit hears appeals from Texas courts at issue in policy change”: Nate Raymond of Reuters has this report. [read post]
10 Jan 2013, 4:49 am
Raymond James Wrongful Discharge Case Is A Minefield For StockbrokerIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011, Claimant Pavlovich alleged that on February 2, 2011, he was wrongfully terminated by Respondent Raymond James and the firm falsely reported the reason for his termination on his Uniform Termination Notice For Securities Industry Registration (“Form U5”) —… [read post]
5 May 2017, 8:55 am
A more ominous twist was the finding by the arbitrator that Raymond James had "pressured" the stockbroker into settling the customer's complaint and that the firm had apparently docked the employee for the full cost of the cash payment. [read post]
1 Nov 2019, 4:53 am
., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes / Firms Failed to Reasonably Supervise 529 Plan Share-Class Recommendations Made to Customers; Matters Identified Prior to FINRA Initiative Launched in January (FINRA Release)Enters Judgment Against Promoter in Pump-And-Dump Scheme Ordering Him to Pay $1.7 Million (SEC… [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)https://www.brokeandbroker.com/6709/finra-awc-letter-credit/From August 2019 to August 2020, a former Raymond James SVP signed two letters of credit and one amendment totaling $3 million. [read post]
29 Jul 2014, 3:38 am
In today's BrokeAndBroker.com Blog, we consider the problems of an apparent victory in which it looked like a registered representative had favorably settled her claims against Raymond James.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in Ma... [read post]
17 May 2017, 6:41 am
From April 2009 until April 2015, Alexander was associated with Raymond James out of the firm’s Palm Beach Gardens, Florida office location. [read post]
9 Jan 2020, 6:25 am
Pastor was also dually registered with Raymond James and Provenance Wealth Advisors during this period. [read post]
23 Jun 2020, 6:19 am
(Radli), currently employed by Raymond James & Associates, Inc. [read post]
3 Jan 2019, 10:09 am
(Raymond James) has been subject to twelve customer complaints during his career. [read post]
