FINRA imposes $125k fine on Raymond James & Associates
Raymond James & Associates, Inc has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
Raymond James
FINRA fines Raymond James & Associates for 1.85 million inaccurate trade confirmations
FINRA fines Raymond James for having sent its customers at least 1,850,000 inaccurate trade confirmations.
Former Morgan Stanley rep who improperly removed customers’ info gets fined
Joseph D. Olheiser faxed to Raymond James the client profile information for 20 Morgan Stanley customers, without their knowledge.
