Search for: "RAYMOND JAMES "
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27 Jul 2018, 7:53 am
(Raymond James), has been subject to three customer complaints. [read post]
18 Mar 2019, 6:46 am
(Raymond James) has been subject to at least five customer complaints and one termination for cause. [read post]
15 Sep 2021, 5:47 am
(Raymond James) has been subject to at least five customer complaints during the course of his career. [read post]
26 Aug 2010, 2:40 pm
Since July 2010, FINRA arbitrators have ordered brokerage units of Raymond James Financial to buy back from customers auction rate securities (ARSs) totalling $3.5 million (3 separate proceedings). [read post]
17 Sep 2019, 10:40 am
The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess commissions for brokerage customer investments in…Read the Full Press Release--- Visit the Securities Lawyer website. [read post]
15 Jul 2016, 2:31 pm
Amalfitano moved to Raymond James after stints at Citigroup and Merrill Lynch. [read post]
18 Sep 2019, 8:19 am
Raymond James Settles SEC Charges for Improper Advisory Fees According to a press announcement yesterday, Raymond James & Associates, a unit of Raymond James Financial Inc., has agreed to pay $15 million to settle charges it improperly charged advisory fees on inactive retail client accounts and charged excess commissions for some brokerage customer investments. [read post]
19 Jun 2019, 7:29 am
Raymond James reportedly denies the allegations. [read post]
5 Sep 2018, 1:12 pm
Stephen Allen Murray (CRD #343722) is a former registered broker and investment advisor who was last employed by Raymond James & Associates, Inc. [read post]
3 Dec 2018, 6:45 pm
Mark Tudor Has 5 Disclosures on His FINRA BrokerCheck Report, & Has 21 Years of Experience in the Securities Industry with 6 Different Firms Mark Tudor was registered with Raymond James Financial Services, Inc in Lake Mary, FL from June 13, 2014 until October 31, 2018, and with Raymond James & Associates, Inc. in Winter Park, FL from February 13, 2013 until June 17, 2014, FINRA notes. [read post]
25 Sep 2023, 7:45 am
Benjamin, formerly registered with Raymond James Financial Services, questions about compliance have arisen. [read post]
23 Sep 2015, 6:40 am
Belenis of KMS Financial Services, Inc., based out of Davis, CA. and previously of Raymond James Financial. [read post]
24 Nov 2020, 5:02 am
He then switched to Raymond James Financial Services in January 1991 and remained there until October 2009. [read post]
24 Nov 2020, 5:02 am
He then switched to Raymond James Financial Services in January 1991 and remained there until October 2009. [read post]
9 Jan 2018, 12:01 pm
Ramesh Madhusudan CRD#5389923 Silver Law Group is investigating Miami Florida-based Raymond James Financial Services broker Ramesh Madhusudan, after a customer filed a FINRA complaint alleging unsuitability and negligent supervision with alleged damages of $9,000,000 Continue reading The post Silver Law Group is Investigating Claims Against Florida-Based Raymond James Broker Ramesh Madhusudan for Unsuitable Investments and Negligent Supervision appeared first on… [read post]
12 Jan 2012, 7:37 am
It is being reported that Raymond James Financial, Inc. has agreed to acquire Morgan Keegan & Company. [read post]
11 Jan 2012, 3:04 pm
Raymond James announced that it has entered into a definitive stock purchase agreement to acquire Morgan Keegan for approximately $930 million. [read post]
3 May 2018, 1:49 pm
Phillips is a previously registered broker who last worked as a broker for Raymond James & Associates (CRD #705) in Jackson MS, from 2013 to 2016. [read post]
3 Feb 2019, 9:45 am
(Raymond James) has been subject to at least 15 customer complaints. [read post]
6 May 2019, 6:23 am
According to BrokerCheck records financial advisor William Council (Council), currently employed by Raymond James & Associates, Inc. [read post]
