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Donald Runkle, long-time chief compliance officer for independent broker-dealer Raymond James Financial Services, has stepped down after more than a decade with the firm.
According to his LinkedIn page, Runkle joined Raymond James in July 2003. The company has declined to offer any further details on his departure.
Until a replacement is found, Alyssa Meyer and Jason Thackeray, both directors of the firm, will serve as co-compliance chiefs.
A series of compliance failures have resulted in three Raymond James entities being fined $15 million by the SEC over improper charges of advisory fees and excess commissions.
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