Search for: "Raymond James and Associates"
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15 Jan 2019, 7:19 am
George Mathis (CRD #4271854) has been employed with Raymond James & Associates since November 2011. [read post]
24 Oct 2008, 11:07 am
Inc. that produces $2.7 million in fees and commissions has bolted to Raymond James & Associates Inc., saying its clients are concerned about the financial stability of Merrill. [read post]
21 Oct 2022, 7:15 am
Separately, from January 2012 to February 2020, Raymond James and Associates and R.JFS failed to have a qualified and registered principal authorize changes to the account name or designation on more than 7,500 equity orders. [read post]
31 Oct 2019, 9:26 am
SSEK Investigating Ex-Raymond James Advisor, Stuart Nichols Another former Raymond James advisor has gotten into trouble over fraud allegations. [read post]
29 Sep 2011, 8:17 am
FINRA ordered Raymond James & Associates, Inc. [read post]
6 Oct 2017, 1:03 pm
Lyons was formerly associated with Raymond James & Associates, Inc. [read post]
10 Oct 2022, 11:28 am
Raymond James’ Rep Reportedly Imprisoned after Allegations of Stealing from Elderly Clients According to the Securities and Exchange Commission on September 22, 2022, the agency reportedly ordered Raymond James & Associates to pay a penalty of $500,000 for allegedly failing to supervise a former registered representative and broker who was sentenced to five years in prison last year for allegedly misappropriating more than… [read post]
31 Mar 2016, 1:17 pm
In March 2016, Raymond James & Associates, Inc. [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]
18 Sep 2019, 8:19 am
The post Raymond James & Associates to Pay $15 million appeared first on The White Law Group. [read post]
19 Nov 2015, 5:00 am
Merrill Lynch lost a team managing more than $2.9 billion to Raymond James & Associates,According to press reports, the move set a new recruiting record for Raymond James, surpassing a $2.4 billion team that left Morgan Stanley to join Raymond James in Florida.Advisors Chris Mahoney, his brother Kevin Mahoney, Mark C. [read post]
15 Nov 2023, 8:55 am
On December 17, 2021, Raymond James reportedly filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Fagan voluntarily terminated his association with the firm. [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
Family Trust to Receive Compensatory Damages From Broker-Dealer In its Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates and former broker Paul Anthony Steffany, the Angelina J. [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]
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]
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]
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]
18 Mar 2019, 6:46 am
According to BrokerCheck records financial advisor George Mathis (Mathis), currently employed by Raymond James & Associates, Inc. [read post]
15 Sep 2021, 5:47 am
Since March 2006, Bachinsky has been associated with Raymond James out of the firm’s Palm Beach Gardens, Florida office location. [read post]
