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June 19, 2019
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Blog, Securities Fraud
Raymond James Lawsuit – BD to pay $15 million for Reportedly Overcharging Customers According to reports this week, Raymond James has agreed to pay $15 million to settle two consolidated lawsuits that accused the firm of overcharging its clients in “passport” accounts. The firm has also reportedly agreed to
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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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