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4 Sep 2021, 7:06 am
Continue reading The post Jeffrey Travis Drost, Formerly with Raymond James, BARRED by FINRA – Victoria, TX appeared first on Securities Arbitration Lawyer Blog. [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]
14 Sep 2020, 9:42 am
Continue Reading › The post Former Customer of Ex-Raymond James Broker Paul Steffany Wins $320K Award appeared first on Investor Lawyers Blog. [read post]
29 Jun 2011, 10:35 am
Raymond James Financial Services on Wednesday agreed to settle charges that it misled clients about auction-rate securities -- investments that were marketed as safe but turned toxic during the credit crisis. [read post]
15 Jan 2016, 7:42 am
” In addition to Raymond James, Mr. [read post]
29 Jan 2008, 11:20 pm
Lowers compliance burden, mitigates risk for Raymond James Branch Managers and Financial Advisors NEW YORK--(BUSINESS WIRE)--Orchestria, the leader in the rapidly growing Electronic Control software category, today announced that financial services firm Raymond James Financial, Inc. [read post]
24 Jun 2020, 1:21 pm
Continue Reading › The post Ex-Raymond James Broker Frederick Stow Is Accused of Stealing $1M from Senior Investors appeared first on Investor Lawyers Blog. [read post]
7 Sep 2016, 6:18 am
Raymond James Financial is bringing the Alex. [read post]
6 Oct 2022, 7:58 pm
Continue Reading › The post Raymond James Pays $500K After Broker is Accused of Elder Financial Abuse appeared first on Investor Lawyers Blog. [read post]
28 Jan 2022, 12:55 pm
Raymond James and Cooper had offices within the UNFCU branch. [read post]
14 Jun 2018, 3:56 pm
(“Raymond James”) broker Victor T. [read post]
4 Sep 2021, 5:39 am
FINRA has suspended and fined former Raymond James Financial Services, Inc. broker David Van Geffen from the securities industry for 15 business days. [read post]
30 Aug 2010, 12:07 pm
It has been a rough couple of months for Raymond James. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
3 Aug 2009, 9:38 am
One of those holdouts: Raymond James Financial. [read post]
7 Feb 2010, 6:45 am
In a case involving 20 advisers in 4 branch offices, a securities arbitration panel has ordered Raymond James Associates Inc. to pay $12.1 million to Wells Fargo Advisors LLC for alleged raiding.The award does not provide any detail of the case, but ordered 10,500,000 in compensatory damages, 1,500,000 in attorneys fees and costs. [read post]
25 Jun 2021, 7:01 am
Continue Reading › The post SSEK Law Firm Investigates Claims That Raymond James Financial Services Marketed Northstar Financial Services (Bermuda) Recommendations To Investors Through UNFCU appeared first on Investor Lawyers Blog. [read post]
14 Oct 2011, 12:51 pm
-based Raymond James has been FINRA member since May 1974. [read post]
18 Oct 2021, 6:52 am
(Collier), currently employed by Raymond James Financial Services, Inc. [read post]
21 Dec 2018, 1:07 pm
(Raymond James) has been subject to four customer complaints during her career. [read post]
