Search for: "Raymond James Financial, Inc."
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12 Nov 2023, 9:23 pm
The Ten Fastest Growing Independent Broker-Dealers in 2022 According to Investment News, the following brokerage firms are the top ten fastest growing independent broker-dealers, as of December 2022: 1 Alden Investment Group 2022 revenue: $18.35 million 2021 revenue: $5.88 million Change: 212.1% 2 Prospera Financial Services, Inc. 2022 revenue: $109.94 million 2021 revenue: $82.01 million Change: 34.1% 3 Arkadios Capital 2022… [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]
6 Oct 2018, 10:09 am
In addition, in September 2011 Raymond James and Associates, Inc. [read post]
20 May 2020, 2:25 pm
Figueroa, Mark Spartan Capital Securities, LLC Arive Capital Markets Freeman, Michael Spartan Capital Securities Legend Securities, Inc Kopatz, Karen Raymond James & Associates, Inc Morgan Keegan & Company, Inc Morgan, Gregory Allstate Financial Services, LLC ProEquities, Inc Rayner, Wesley Santander Securities LLC JP Morgan… [read post]
7 Feb 2020, 11:41 am
According to BrokerCheck records, Armstrong was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Raymond James Financial Services, Inc (Raymond James). [read post]
23 May 2019, 7:36 am
Cole Financial, Inc Morgan Stanley Donato, Scott Morgan Stanley Flaningan, Joel NYLife Securities LLC Synergy Investment Services LLC Johnson, Anthony Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie Norris, Timothy BMO Harris Financial Advisors, Inc HarrisDirect LLC Tudor, Mark … [read post]
11 Jan 2012, 3:23 pm
The investor reportedly purchased the securities through Oppenheimer Holdings Inc. [read post]
16 Jul 2011, 8:52 pm
A Financial Industry Regulator Authority Panel has ordered WedBush Securities Inc. to pay one of its traders over $3.5 million for refusing to properly compensate him. [read post]
8 Jul 2014, 6:17 am
Thereafter, and until June 2014, Foerster was last associated with Raymond James & Associates, Inc., (Raymond James) when his registration was terminated based on the conduct described by FINRA in the AWC. [read post]
5 Apr 2013, 5:45 am
In Raymond James Financial Services, Inc. and Timothy Carl Satre v. [read post]
31 Mar 2020, 6:22 am
Jordan Rodriguez NYLife Securities LLC Frederick Stow Raymond James & Associates, Inc. [read post]
20 Sep 2017, 6:25 am
From September 2016 through February 2017, Ryman was been associated with Raymond James & Associates, Inc. [read post]
28 Aug 2020, 12:02 pm
According to Boucher’s broker report, he was reportedly registered with Raymond James Financial Services in Carlsbad, CA from 2000 until 2016. [read post]
26 Nov 2019, 7:12 am
Raymond James & Assoc Southwest Securities Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
21 Aug 2018, 5:14 am
Morgan Securities LLC Chase Investment Services Corp Spencer Joseph Lassetter Fidelity Brokerage Services LLC Andrea Marie Milinkovic PNC Investments Suntrust Investment Services, Inc Stephen Allen Murray Raymond James & Associates, Inc Morgan Keegan & Company, Inc George James Oldoerp H. [read post]
25 Sep 2007, 4:10 pm
On February 21, 2007, the NASD fined Raymond James Financial Services, Inc. of St. [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… [read post]
8 Nov 2018, 7:34 am
In December 2009 Kurtz was terminated by his prior employer Raymond James Financial Services, Inc. [read post]
3 May 2010, 8:56 pm
Raymond James Financial Services Inc., with a $36,046,959 average AUM/rep 4. [read post]
2 Mar 2010, 7:35 am
Raymond James Financial Inc. has reportedly reserved (but not spent) $186.4 million for loan loss, legal proceedings, bad debts and other accruals in 2009, compared with $68.8 million the year before. [read post]
