Finra smacks Raymond James with $1.15 million penalty over compliance shortcomings
Broker Dealer, FINRA, Scheme, Settlement
October 24, 2022
The Financial Industry Regulatory Authority Inc. said Thursday it had reached a settlement with two broker-dealers under the roof of Raymond James Financial Inc. for a variety of compliance failures, including missing red flags when overcharging clients. The two Raymond James firms agreed to Finra’s settlement ...Read More