Search for: "Raymond James Financial Services, Inc."
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12 Oct 2021, 11:59 am
Ex-Raymond James Broker Sara Komischke Unsuitably Recommended Off-Shore Investment A Maine investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Raymond James Financial Services, Inc. over his Northstar Financial Services (Bermuda) investment losses. [read post]
29 Sep 2011, 8:17 am
(RJA) and Raymond James Financial Services, Inc. [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]
4 Sep 2021, 7:06 am
FINRA has barred former Raymond James Financial Services, Inc. broker Jeffrey Travis Drost from the securities industry, after he refused to provide information and documents requested by FINRA. [read post]
27 Jan 2020, 1:42 pm
Do You Have Investment Loses With Steven Reznik Or Raymond James Financial Services? [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]
18 Oct 2021, 6:52 am
(Collier), currently employed by Raymond James Financial Services, Inc. [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]
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]
14 Jun 2018, 3:56 pm
Silver Law Group is investigating Wellington, Florida-based Raymond James Financial Services, Inc. [read post]
28 Jul 2010, 6:49 pm
A Financial Industry Regulatory Authority arbitration panel is ordering Raymond James & Associates Inc. and Raymond James Financial Services Inc. to buy back $2.5M in auction-rate securities from an investor. [read post]
27 Jul 2018, 7:53 am
According to BrokerCheck records financial advisor Matthew Werthe (Werthe), employed by Raymond James Financial Services, Inc. [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]
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]
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]
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]
18 Oct 2018, 12:48 pm
According to BrokerCheck records financial advisor George Puliafico (Puliafico), employed by Raymond James Financial Services, Inc. [read post]
1 Oct 2011, 4:08 pm
(RJA) and Raymond James Financial Services, Inc. [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]
18 Jun 2015, 12:37 pm
The FINRA Complaint alleged that the day after Waszolek was named the Widow’s residual beneficiary, he resigned from UBS Financial Services, Inc. [read post]
