All Raymond James Financial Services articles

  • Raymond James
    News Brief

    Raymond James to pay $1.9M over failing to supervise mutual fund transactions

    2024-08-30T20:02:00Z

    Raymond James & Associates and its subsidiary agreed to pay more than $1.9 million to settle allegations levied by the Financial Industry Regulatory Authority that it didn’t have an effective system to handle customer complaints, along with millions of direct mutual fund transactions not reasonably being supervised.

  • Blog

    FINRA fines Raymond James $2M for flawed e-mail monitoring system

    2017-12-26T22:00:00Z

    The Financial Industry Regulatory Authority has fined Raymond James Financial Services $2 million for failing to maintain reasonably designed supervisory systems and procedures for reviewing e-mail communications, serving as a warning to compliance officers to review FINRA's guidance concerning the review and supervision of electronic communications.