Search for: "Raymond James and Associates"
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23 Jun 2017, 10:05 am
FINRA Fines Raymond James & Associates, Inc. $180,000 for Compliance issues According to FINRA, Raymond James & Associates, Inc. [read post]
23 Jun 2017, 10:05 am
FINRA Fines Raymond James & Associates, Inc. $180,000 for Compliance issues According to FINRA, Raymond James & Associates, Inc. [read post]
21 Dec 2018, 1:07 pm
According to BrokerCheck records financial advisor Maria Hendershott (Hendershott), currently employed by 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]
6 May 2019, 6:23 am
According to BrokerCheck records financial advisor William Council (Council), currently employed by Raymond James & Associates, Inc. [read post]
28 Jul 2010, 6:49 pm
Greg Merdinger has accused Raymond James Financial Inc. of failing to warn him about the risks associated with ARS. [read post]
27 Jul 2018, 7:53 am
Since January 2013 Werthe has been associated with Raymond James out of the firm’s Murrieta, California office location. [read post]
14 Oct 2011, 12:51 pm
It is an independent contractor firm that also does business through Raymond James andamp; Associates Inc., an affiliated company. [read post]
18 Oct 2021, 6:52 am
Collier has been associated with Raymond James Financial Services out of the firm’s Mt. [read post]
18 Jun 2015, 12:37 pm
(“Raymond James”) broker. [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]
8 Nov 2019, 12:19 pm
Raymond James & Associates has reportedly agreed to pay more than $3.8 million in restitution, while Raymond James Financial Services has reportedly agreed to pay $4.2 million, according to the AWC. [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]
3 Feb 2019, 9:45 am
From October 1989 until July 2018 Reznik was associated with Raymond James out of the firm’s Tallahassee, Florida office location. [read post]
18 Oct 2018, 12:48 pm
Since 1999 Puliafico has been associated with Raymond James out of the firm’s Walpole, Massachusetts office location. [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 Journal by… [read post]
18 Dec 2017, 3:43 am
We start with a fairly straightforward proposition of Raymond James wanting to be repaid the remaining balance on a loan it made to a former associated person. [read post]
27 Jul 2021, 7:17 am
Continue Reading › The post South American Retirees File $5M Northstar Financial Services (Bermuda) Investor Claim Against Raymond James & Associates appeared first on Investor Lawyers Blog. [read post]
1 Oct 2011, 4:08 pm
The Financial Industry Regulatory Authority (FINRA) ordered Raymond James & Associates, Inc. [read post]
