All Raymond James articles
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ArticleRaymond James unit fined $500K for supervisory failures
A broker-dealer unit of Raymond James Financial agreed to pay $500,000 as part of a settlement with the Securities and Exchange Commission for alleged supervisory failures that included the input of a misinformed compliance officer.
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Article
Raymond James chief accounting officer to retire
Investment banking firm Raymond James Financial disclosed in a regulatory filing that Chief Accounting Officer Jennifer Ackart has informed the company of her decision to retire, effective Sept. 30.
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ArticleCompliance failures lead to $15M penalty for Raymond James
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.