Tagged with "raymond james"

Florida Judge Denies Raymond James’ Summary Judgment Motion in Fee Overcharging Case

Posted on October 25th, 2018 at 11:13 AM
Florida Judge Denies Raymond James’ Summary Judgment Motion in Fee Overcharging Case

A Florida state court judge has denied Raymond James’ motion for summary judgment in a lawsuit that accuses the firm of marking up processing fees up to 10 times on certain accounts.

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University of Florida Study Demonstrates an Uptick of Unprofitable Companies in 2018 Filing IPOs

Posted on October 4th, 2018 at 11:52 AM
University of Florida Study Demonstrates an Uptick of Unprofitable Companies in 2018 Filing IPOs

University of Florida finance professor, Jay Ritter has released a study examining the financial health of companies in 2018 before they filed Initial Public Offerings (IPOs) and compared the data to other years dating back to 1980.

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SEC Charges Ex-Raymond James Branch Manager for Aiding and Abetting Hotel Project Scam

Posted on September 7th, 2018 at 2:02 PM
SEC Charges Ex-Raymond James Branch Manager for Aiding and Abetting Hotel Project Scam

The SEC has charged former Raymond James & Associates branch manager, Joel Burstein in Florida federal court for aiding and abetting the misuse of investor money flowing through customer brokerage accounts.

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Regional Firms Are Becoming a Favored Destination for Wirehouse Advisors

Posted on August 17th, 2018 at 9:39 AM
Regional Firms Are Becoming a Favored Destination for Wirehouse Advisors

Recently, regional firms such as Raymond James, Stifel, Ameriprise, and Janney Montgomery Scott have become a favored destination for many successful wirehouse advisors who transition from the wirehouses.

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I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing.  You guys are the best group of attorneys in the country that I could hire to handle this complicated case.

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A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
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According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.

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The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.