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

Published: July 11, 2023

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

Source: wealthmanagement.com

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United StatesBrett OlinSteve HollisterClothilde HewlettWilliam GalvinRaymond JameRaymond JamesCalifornia Department Of Financial ProtectionAmerican Securities Administrators AssociationEnforcement Section CoCalifornia DepartmentFinancial ProtectionGolden StateNorth American Securities AdministratorsCommonwealth Secretary William GalvinSection Co Chair Brett OlinJames Spokesman Steve Hollister

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

Published: October 3, 2022

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

Source: prnewswire.com

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United StatesJennifer SpoeriAndrew HartnettRichard SzuchAmanda SennJim WronaSuzanne McgovernJeanette WinglerJoseph SnyderAmerican Securities Administrators AssociationAlabama Securities CommissionCapacity CommitteeJersey Bureau Of Securitie EnforcementExchange CommissionEnforcement Section CoNational Adult Protective Services AssociationDiminished Capacity CommitteeRich SzuchDiminished Capacity Committee ChairNew Jersey BureauSecuritie Enforcement ChiefSenior AdvisorSection Co ChairChief Deputy DirectorGeneral Counsel

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

Published: February 23, 2022

Click to read more.

Source: ny.gov

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New YorkUnited StatesWest IslipLong IslandEdmund BradyKarin Kunstler GoldmanKaren KnudsenWilliam WangLynn MinutilloGarrett MorganPeggy FarberLetitia JamesNick RadescaJames SheehanYael FuchsJean SachsMargaret CampiseBabylon Breast Cancer CoalitionManhasset Women Coalition Against Breast CancerOffice Of The New York AttorneyFundraising Network Shut DownBrady CompanyIslip Breast Cancer Coalition For Long IslandCoalition Against Breast CancerBreast Cancer Survivors Foundation Inc