Search for: "Raymond James and Associates"
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28 Oct 2010, 9:59 pm
Combe, Raymond Gesteland, James U. [read post]
22 Mar 2021, 8:20 am
Prior to the bar, he was previously in the employment of Raymond James & Associates between February 2013 and May 2017; and Morgan Keegan & Company between August 1993 and February 2013. [read post]
22 Mar 2021, 8:20 am
Prior to the bar, he was previously in the employment of Raymond James & Associates between February 2013 and May 2017; and Morgan Keegan & Company between August 1993 and February 2013. [read post]
9 Jan 2020, 6:25 am
Pastor was also dually registered with Raymond James and Provenance Wealth Advisors during this period. [read post]
27 Jun 2017, 6:26 am
In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Richard Sampley of Atlanta, Georgia, a registered representative formerly with Raymond James, Morgan Keegan and UBS Financial submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member for ten months, and assessed a fine of $15,000. [read post]
18 Sep 2007, 6:28 am
Platts LNG Daily reports that a Raymond James and Associates analyst has lowered his 2008 U.S. gas price projection by $3/Mcf, while raising his projection for the fourth quarter of 2007 by $1/Mcf. [read post]
17 Jun 2011, 9:00 pm
The panel includes Gregory Castanias of Jones Day, James Hurst of Winston & Strawn, and Raymond Niro of Haller & Niro. [read post]
2 Jan 2018, 6:59 am
Vatter has spent 34 years in the securities industry and was most recently registered with Raymond James & Associates in Louisville, Kentucky. [read post]
31 Jan 2008, 9:01 pm
” by Aimee Waite, a Financial Advisor with Raymond James & Associates. [read post]
30 Jan 2008, 9:01 pm
” by Aimee Waite, a Financial Advisor with Raymond James & Associates. [read post]
16 Sep 2015, 6:04 am
FINRA found that Madden did not obtain written authorization from his customers to exercise discretion in their accounts and his brokerage firm, Raymond James & Associates, Inc. [read post]
18 Jan 2019, 9:35 am
His previous employers include Raymond James Financial Services, Inc. [read post]
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]
1 May 2008, 12:01 pm
” by Aimee Waite, a Financial Advisor with Raymond James & Associates. [read post]
10 Apr 2008, 10:01 pm
” by Aimee Waite, a Financial Advisor with Raymond James & Associates. [read post]
10 Sep 2010, 2:23 am
That is, he found that the plaintiffs had adequately alleged both scienter and misrepresentation with respect to part of the Section 10(b) claims against one of Raymond James’ operating units, Raymond James & Associates (RJA). [read post]
13 Sep 2018, 9:27 am
Taek Man Chong (CRD #1551743) is a previously registered broker and investment advisor who was last registered with Raymond James Financial Services, Inc. [read post]
24 Sep 2008, 4:12 pm
"Appeals Court Rules Bucs Can Resume Fan Pat-Downs": Today's edition of The Tampa Tribune contains an article that begins, "Fans attending a Tampa Bay Buccaneers game at Raymond James Stadium could have to undergo pat-down searches in less than three weeks. [read post]
2 Nov 2023, 6:36 am
His previous employers include Raymond James & Associates, Inc. [read post]
1 Aug 2022, 4:04 am
Respondent Raymond James did not opposed the requested relief. [read post]
