By Jaclyn Jaeger2017-04-17T10:30:00
Raymond James Financial has reached a $150 million settlement to resolve all investor claims that the firm stole and misused millions of dollars raised through investments solicited under the federal EB-5 visa program.
2019-09-19T14:58:00Z By Jaclyn Jaeger
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.
2017-12-26T22:00:00Z By Jaclyn Jaeger
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.
2025-09-11T20:53:00Z By Neil Hodge
Europe’s banking regulator warns that weak compliance at fintech, regtech, and crypto firms may let money laundering and terrorist financing risks slip through. The EBA also found EU regulators’ approaches are often inconsistent and unclear.
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