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October 17, 2014
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Blog, Securities Fraud
According to a recent FINRA Disciplinary Actions announcement, Ronald Willard Vaught (CRD #2605545, Melbourne, Florida) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Vaught consented to the sanction and to the entry of
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September 29, 2011
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Blog, Securities Fraud
According to a public release from FINRA.org they, “ordered Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS) to pay restitution of $1.69 million to more than 15,500 investors who were charged unfair and unreasonable commissions on securities transactions. FINRA also fined
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May 28, 2010
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Blog, Securities Fraud
FINRA recently announced that Gerald Jamieson Kesner, formerly of Raymond James Financial Services in Lakewood, Colorado, has been barred from association with any FINRA member in any capacity. According to the FINRA announcement, the NAC imposed the sanction following appeal of an OHO decision. The sanction was based
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