Displaying 440 results
Raymond James to pay $3.2 million to customers hurt by oil and gas investments
Arbitrators rule barred broker James Edward Lyons engaged in unauthorized trading.
Four-rep team from RBC managing $240 million moves to Raymond James
Bannister, Rainey Cavanaugh Wealth Group is based in West Des Moines, Iowa.
Raymond James to pay $3.2 million to customers hurt by oil and gas investments
Arbitrators rule barred broker James Edward Lyons engaged in unauthorized trading.
LPL, Raymond James led gains in adviser headcount last quarter
Meanwhile, the number of advisers at the wirehouses continues to slip.
LPL, Raymond James led gains in adviser headcount last quarter
Meanwhile, the number of advisers at the wirehouses continues to slip.
Finra bars former Raymond James rep over churning allegations
Stuart Nichols, who failed to take part in hearing, was discharged last year.
Finra bars former Raymond James rep over churning allegations
Stuart Nichols, who failed to take part in hearing, was discharged last year.
Heads of Raymond James, Ameriprise say race to zero is getting murky
CEOs of both firms say they're in the dark about UBS' move to cut fees on some accounts.
Three Wells Fargo reps managing $150 million move to Raymond James
Roper Fields, Thomas Fields and B.V. Lawson join employee unit in Cool Springs, Tenn.
Three Wells Fargo reps managing $150 million move to Raymond James
Roper Fields, Thomas Fields and B.V. Lawson join employee unit in Cool Springs, Tenn.
Raymond James dips toe into commission-free trades
As industry race-to-zero accelerates, the broker-dealer offers free trades to small group of RIAs.
Raymond James dips toe into commission-free trades
As industry race-to-zero accelerates, the broker-dealer offers free trades to small group of RIAs.
Merrill advisers managing $206 million join Raymond James
Gary Wardein and daughter, Erin Bethge, are based in Rancho Bernardo, Calif.
Finra panel orders former broker to pay Raymond James almost $1 million
Arbitrators determine that John Charles Wyshak must pay cost of indemnifying clients.
UBS team managing $990 million moves to Raymond James
Four-advisor group in Bethesda, Md., joins firm's employee unit.
Wells Fargo adviser managing $250 million moves to Alex. Brown
Eric Dexter opens office for firm in Portland, Maine.
Indie managing $245 million switches to Raymond James from Ameriprise
Hendel Wealth Management Group and its three-adviser team are based in Smithtown, N.Y.
Raymond James doubles down on digital with advisers in control
As digital advice evolves, Raymond James stays focused on advisers.
Raymond James to pay $15 million over improper charges to clients
Firm charged advisory fees on inactive accounts and excess commissions for UITs.
Finra panel orders Raymond James to pay former broker more than $500,000 for defamation
Arbitrators include $100,000 sanction for firm's foot-dragging in producing documents.
