Search for: "Raymond & Associates LLC"
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8 Aug 2018, 12:25 pm
He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. [read post]
23 Feb 2012, 7:51 am
Securities and Exchange Commission website, Walker was registered as an investment adviser with a Fort Wayne office of Raymond James & Associates until last spring. [read post]
27 May 2020, 8:13 am
His last known employer was Raymond James & Associates, Inc. [read post]
31 Dec 2008, 11:28 am
The election of the 2009 governing board of the New Lawyers Section of the Maine State Bar Association is now closed. [read post]
18 Jan 2019, 9:35 am
(CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. [read post]
2 Nov 2023, 6:36 am
His previous employers include Raymond James & Associates, Inc. [read post]
7 Mar 2016, 9:41 am
In a recent Associated Press article, common stories of how investors are pitched by their financial advisors on oil and gas private placements were reported on. [read post]
21 Mar 2017, 6:27 pm
Friends of the Motherhouse, a nonprofit corporation, and Raymond Foote and Barbara Weed appealed from a summary judgment entered by the Superior Court in favor of the defendant City of Portland and intervenors Sea Coast at Baxter Woods Associates, LLC, and Motherhouse Associates LP (collectively “Sea Coast”). [read post]
12 Oct 2019, 8:04 am
From September 2013 until June 2019 Stow was associated with Raymond James out of the firm’s Franklin, Tennessee office location. [read post]
15 Apr 2015, 7:06 am
In July 2006, Schmidt became associated with LPL. [read post]
25 Aug 2020, 2:14 pm
According to Advisor Hub, “Joseph Woitkoski, who was terminated by Raymond James Associates in 2018 after 20 years as a registered rep, was suspended for 30 days and fined $7,500 for allegedly making discretionary trades for 12 customers without their written authorizations, according to an acceptance, waiver and consent letter that Finra accepted on August 20. [read post]
24 Mar 2022, 12:15 pm
Samsung lost a series of five chip inter partes reviews (IPRs) at institution against an LED Wafer Solutions LLC (apparently associated with Oso IP) on the merits (they and Seoul Semiconductor were the only two plaintiffs yet sued); PPC Broadband got some IPRs from Amphenol based in large part on family members having been cancelled earlier in reexam on the same grounds; Raymond Anthony Joao entity Beteiro LLC filed a few further cases; Caselas, another of his… [read post]
22 Apr 2024, 12:35 pm
Raymond James & Associates, Inc. [read post]
5 Feb 2019, 1:16 pm
His previous employers are Raymond James Financial Services, Inc. [read post]
5 Jun 2019, 1:43 pm
Mark Tudor, Raymond James Advisor Barred for Allegations of “Selling Away” Have you suffered losses investing with former financial advisor Mark Tudor and Raymond James Financial in Lake Mary, Florida? [read post]
26 Aug 2019, 4:00 am
Attorney and AuthorCopyright Litigation Handbook (Thomson Reuters Westlaw 2018-2019) by Raymond J. [read post]
8 May 2020, 9:25 am
Wells Fargo Clearing Services, LLC Raymond James & Associates, Inc. [read post]
28 Nov 2007, 6:25 am
Poliakoff, Raymond P. [read post]
28 Nov 2023, 7:42 am
Petersburg, FL, and Pruco Securities, LLC. [read post]
21 Apr 2016, 4:00 am
In Tomaydo-Tomahhdo, LLC v. [read post]
