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15 Nov 2023, 8:55 am
The post John Fagan, Raymond James, Barred by FINRA appeared first on The White Law Group. [read post]
14 Nov 2023, 6:03 am
From yesterday's decision by Chief Magistrate Judge Raymond E. [read post]
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 revenue: $79.13 million … [read post]
10 Nov 2023, 3:30 pm
Raymond Pena was found not guilty. [read post]
10 Nov 2023, 1:03 pm
., José Oliva, Tony Proctor, Octavius Raymond, Jim Saleet, Blaine Smith, Bob Smith, Marvin Smith, Joey Vanoni, Samuel Washington, and Edward Williams, and IJ Senior Attorney Michael Bindas. [read post]
10 Nov 2023, 7:29 am
(CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. [read post]
8 Nov 2023, 11:18 am
Raymond v Town of Plaistow, 2023 WL 4831447 (NH 7/28/2023) [read post]
7 Nov 2023, 5:12 pm
“Delays plague US judiciary’s financial disclosure database”: Nate Raymond of Reuters has this report. [read post]
6 Nov 2023, 12:45 pm
Williams, Raymond HaberskiJr. , and Philip Goff. [read post]
5 Nov 2023, 6:24 pm
“US judges defeat misconduct case over hiring of clerk accused of racism”: Nate Raymond of Reuters has this report on an order that the Judicial Council of the Second Circuit issued last Tuesday. [read post]
2 Nov 2023, 6:36 am
His previous employers include Raymond James & Associates, Inc. [read post]
26 Oct 2023, 7:49 am
According to FINRA Disciplinary actions for October 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS David Burch Raymond James & Associates, Inc. [read post]
25 Oct 2023, 12:49 pm
Joseph Desapio Spartan Capital Securities, LLC Worden Capital Management LLC DeVere Dudley Raymond James Financial Services, Inc. [read post]
25 Oct 2023, 10:28 am
“US judge, scholars urge Supreme Court term limits in bipartisan push”: Nate Raymond of Reuters has this report. [read post]
25 Oct 2023, 9:59 am
I’d also like to thank Julia Lawn, Megan Vis-Dunbar, Raymond Lee, the other speakers, attendees, and CLEBC staff for organizing a great event. [read post]
25 Oct 2023, 8:05 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Davd Burch Raymond James & Associates, Inc. [read post]
22 Oct 2023, 5:03 pm
Precedent from the Supreme Court of Florida, in Raymond James Financial Services, Inc. v. [read post]
20 Oct 2023, 11:38 am
“US judicial panel eyes ‘elegant solution’ to amicus disclosure rule”: Nate Raymond of Reuters has this report. [read post]
19 Oct 2023, 10:03 am
“US judiciary walks away from proposal to bar midnight court filings”: Nate Raymond of Reuters has a report that begins, “The federal judiciary is abandoning a judge’s proposal to improve work-life balance among attorneys by rolling back filing deadlines and barring lawyers nationwide from submitting legal briefs and other documents electronically as late as midnight. [read post]
19 Oct 2023, 6:50 am
“US appeals judge urges new standard on ‘cruel and unusual’ punishment; 3rd Circuit Judge Thomas Hardiman says 8th Amendment should be interpreted under ‘original meaning’; Judge targets ‘evolving standards of decency’ test”: Nate Raymond of Reuters has this report. [read post]
