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Raymond James to Pay $12M+ to Settle 'Unreasonable' Commission Claims

July 11, 2023

Raymond James will pay more than $12 million to settle charges of 'unreasonable commissions' on transactions, according to state regulators.

United States Brett Olin Steve Hollister Clothilde Hewlett William Galvin Raymond Jame

Source: wealthmanagement.com

NASAA Announces Speakers and Agenda for November 3 "NASAA's Senior Issues and Diminished Capacity Committee Presents" Webcast

October 3, 2022

/PRNewswire/ -- The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for NASAAs next "Senior Issues and...

United States Jennifer Spoeri Andrew Hartnett Richard Szuch Amanda Senn Jim Wrona

Source: prnewswire.com

Attorney General James Delivers Over $640,000 to New York Breast Cancer Organizations

February 23, 2022

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New York United States West Islip Long Island Edmund Brady Karin Kunstler Goldman

Source: ny.gov

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Enforcement Section Co News Today

Raymond James to Pay $12M+ to Settle 'Unreasonable' Commission Claims

NASAA Announces Speakers and Agenda for November 3 "NASAA's Senior Issues and Diminished Capacity Committee Presents" Webcast

Attorney General James Delivers Over $640,000 to New York Breast Cancer Organizations

Explore More Categories