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Tagged with "raymond james"

FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

Posted on June 11th, 2026 at 12:23 PM
FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) sanctioned Paul D.

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Former Raymond James Advisor Barred by FINRA Over Misappropriation Probe

Posted on August 28th, 2025 at 2:00 PM
Former Raymond James Advisor Barred by FINRA Over Misappropriation Probe

The Financial Industry Regulatory Authority (FINRA) has permanently barred former Raymond James financial advisor Meredith Archer Webber after she failed to comply with repeated requests for documents and testimony during an investigation into the possible misappropriation of funds from two elderly clients, according to ThinkAdvisor.

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June 12, 2026
FINRA Suspends Former LPL Broker Over Undisclosed Outside Business Activity

The Financial Industry Regulatory Authority (FINRA) has imposed a $5,000 fine and a 45-day suspension against former LPL Financial broker James R.

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June 11, 2026
FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) sanctioned Paul D.

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June 10, 2026
Ameriprise Reports Second Data Breach in Less Than Six Months

Ameriprise Financial recently disclosed another data breach, marking the second cybersecurity incident involving the firm in less than six months.