Search for: "Raymond James Financial Services, Inc."
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23 Dec 2011, 9:26 am
Earlier this year, an arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded a Texas man and the estate of his deceased wife $1.7 million, after finding that an independent contractor, Paul Davis of Raymond James Financial Services, sold life insurance and variable annuity products that were inappropriate investments given the couple’s age and risk tolerance. [read post]
22 Dec 2011, 11:00 am
--- RESOLVED, that shareholders of The Goldman Sachs Group, Inc. [read post]
20 Dec 2011, 7:02 am
In the third quarter, net sales of variable annuities reached a record $8.8 billion with $2.27 billion in sales by Raymond James Financial Services, Inc. alone. [read post]
14 Dec 2011, 6:34 pm
Houstonian accused of selling bogus annuities to elderly, Chron.com, December 14, 2011 Annuities, SEC.gov More Blog Posts: Texas Securities Fraud: Unregistered Adviser Confesses to Selling Almost $400K in Promissory Notes and Investments Despite Cease and Desist Order, Stockbroker Fraud Blog, December 5, 2011 Texas Securities Fraud: Raymond James Financial Services Pays Elderly Senior Investor About $1.8M Following Loss of Appeal, Stockbroker Fraud Blog,… [read post]
16 Nov 2011, 7:47 am
In Raymond James Financial Services, Inc. v. [read post]
14 Oct 2011, 12:51 pm
After the Financial Industry Regulatory Authority, or FINRA, found that Raymond James Financial Services Inc. had charged excessive commissions in about 13,500 customer accounts due to a failure to supervise, the firm agreed to pay more than $750,000 plus interest to the customers, as well as a $200,000 fine. [read post]
6 Oct 2011, 5:38 am
Moreover, the former brokers of quite a few independent firms-- including Edward Jones, Raymond James Financial Services Inc. and Woodbury Financial Services Inc. andndash; are being investigated by states for their alleged selling-away activities. [read post]
1 Oct 2011, 4:08 pm
(RJA) and Raymond James Financial Services, Inc. [read post]
29 Sep 2011, 8:17 am
(RJA) and Raymond James Financial Services, Inc. [read post]
12 Jul 2011, 7:54 pm
The result, according to a report by Raymond James & Associates, Inc., is an expected step up in assisted acquisitions over the next few years. [read post]
2 Jun 2011, 11:00 am
Gray currently serves as a director for Prudential Financial, Inc., Dell Computer Corporation, and Pfizer Inc. [read post]
28 Mar 2011, 7:02 pm
Raymond J. [read post]
12 Jan 2011, 11:36 am
BiographyKF374.D75 S37 2011Bob Drinan : the controversial life of the first Catholic priest elected to Congress / Raymond A. [read post]
18 Dec 2010, 3:38 am
Kimberly works hard to obtain Continuing Education credits from the Department of Financial Services for FAPIA’s members. [read post]
17 Dec 2010, 9:00 am
Some of them are the Ameriprise Financial Services, Wells Fargo Advisors, LPL Financial, and Edward Jones, Charles Schwab, Chase Investment Services, Morgan Stanley Smith Barney, Raymond James, Merrill Lynch and some others. [read post]
15 Nov 2010, 11:44 am
Riverkeeper, Inc. 34 Harv. [read post]
4 Sep 2010, 5:32 pm
Raymond James affiliates Raymond James & Associates Inc. and Raymond James Financial Services Inc. were ordered to make the ARS repurchase. [read post]
1 Sep 2010, 7:01 am
In July, a panel ordered Raymond James Financial Services Inc. and Raymond James & Associates to repurchase $2.5 million in auction rate securities from an investor who claimed the company failed to warn him about the risks involved. [read post]
28 Jul 2010, 6:49 pm
A Financial Industry Regulatory Authority arbitration panel is ordering Raymond James & Associates Inc. and Raymond James Financial Services Inc. to buy back $2.5M in auction-rate securities from an investor. [read post]
5 Jul 2010, 6:27 am
Stifel Nicolaus & Co.), Jesup & Lamont Securities Corp., Jeffries & Company, Inc., Raymond James & Associates, Inc., and Robert W. [read post]
