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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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September 23, 2011
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Blog, Securities Fraud
The following is a brief breakdown of publicly available information regarding Raymond James and its securities sales practices and FINRA regulatory history. Raymond James is a FINRA registered broker-dealer based in St. Petersburg, Florida. Raymond James’ website states that the firm has more than 5,400 financial
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February 9, 2011
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Blog, Securities Fraud
According to CBS New York, a former Connecticut securities broker faces sentencing for stealing more than $1.35 million from his clients. Gregory Buchholz of Bridgewater is scheduled to be sentenced in federal court in Bridgeport. He pleaded guilty to wire fraud. Prosecutors say the 45-year-old Buchholz liquidated
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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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