Search for: "Raymond James Financial, Inc."
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18 Mar 2019, 6:46 am
According to BrokerCheck records financial advisor George Mathis (Mathis), currently employed by Raymond James & Associates, Inc. [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]
14 Jan 2012, 8:52 am
(NYSE: RF) issued a statement announcing that Raymond James Financial Inc. [read post]
3 Feb 2019, 9:45 am
According to BrokerCheck records financial advisor Steven Reznik (Reznik), formerly employed by Raymond James Financial Services, Inc. [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]
18 Oct 2018, 12:48 pm
According to BrokerCheck records financial advisor George Puliafico (Puliafico), employed by Raymond James Financial Services, Inc. [read post]
15 Sep 2021, 5:47 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Eric Bachinsky (Bachinsky), currently employed by Raymond James & Associates, Inc. [read post]
27 Jul 2021, 7:17 am
Older Couple’s Broker Overconcentrated More Than $2.2M of Their Funds in Now Defunct Investment An older retired couple from South America is pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates, Inc. after they suffered a seven-figure loss in Northstar Financial Services (Bermuda). [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]
12 Jan 2012, 7:37 am
It is being reported that Raymond James Financial, Inc. has agreed to acquire Morgan Keegan & Company. [read post]
3 Nov 2020, 11:01 am
Vonna Kay Husby was a financial advisor at Raymond James Financial Services, Inc. in Fairbanks, Alaska, from August 2003 until May 2019. [read post]
1 Oct 2011, 4:08 pm
(RJA) and Raymond James Financial Services, Inc. [read post]
18 Jun 2015, 12:37 pm
On June 11, 2015, the Department of Enforcement for the Financial Industry Regulatory Authority (“FINRA”) initiated disciplinary proceedings against John Waszolek (“Waszolek”), a Raymond James & Associates, Inc. [read post]
9 Feb 2010, 11:53 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. [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 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]
28 Aug 2010, 3:29 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Raymond James & Associates, Inc. and one of its registered representatives to pay $925,000 to a Texas couple who purchased $1.4 million of municipal auction rate securities issued by Jefferson County, Alabama, according to August 26th articles in InvestmentNews by Bruce Kelly (“Raymond James pays more auction rate claims”) and in the Wall Street… [read post]
31 Oct 2019, 6:20 am
On October 25, an all-public Financial Industry Regulatory Authority Inc. panel reportedly ruled that Raymond James was liable for transactions allegedly conducted by former financial advisor James Edward Lyons (Eddie Lyons), who was reportedly barred last year from the securities industry. [read post]
5 Feb 2014, 5:58 am
Raymond James Financial Services, Inc. [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]
