WA DFI Joins $12.4 Million Settlement with Raymond James for …

Jul 11, 2023  · OLYMPIA – The Washington State Department of Financial Institutions (DFI) announced today that it has joined a multi-state settlement with Raymond James & …


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WA DFI Joins $12.4 Million Settlement With Raymond James For …

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Jul 11, 2023  · OLYMPIA – The Washington State Department of Financial Institutions (DFI) announced today that it has joined a multi-state settlement with Raymond James & …

wa.gov

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WA State Joins Multi-State Settlement Against Investment Firm

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Jul 11, 2023  · The DFI report says Raymond James sometimes kept 100 percent of a customer's proceeds from a sale. Over the last five years, the company made $8,250,000 in excess …

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Washington State Department Of Financial Institutions Press …

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Jun 14, 2024  · WA DFI Joins $12.4 Million Settlement with Raymond James for Charging Unreasonable Commissions OLYMPIA – The Washington State Department of Financial …

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WA DFI Joins $12.4 Million Settlement With Raymond James For …

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Jul 11, 2023  · OLYMPIA – The Washington State Department of Financial Institutions (DFI) announced today that it has joined a multi-state settlement with Raymond James &

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ACC Joins Other States In $12.4 Million Settlement With Raymond …

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Dec 6, 2024  · Phoenix, Ariz. - The Arizona Corporation Commission announced it has joined a multi-state settlement with two financial services firms of Raymond James, which will pay …

azcc.gov

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Alabama Joins Multiple States In $12.4 Million Settlement With …

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Nov 7, 2023  · Raymond James Financial Services, Inc. (collectively, Raymond James), which will pay at least $8.2 million in refunds to clients, and $4.2 million in penalties and costs to the …

alabama.gov

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WA DFI Joins $12.4 Million Settlement With Raymond James For …

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Jul 11, 2023  · OLYMPIA - The Washington State Department of Financial Institutions (DFI) announced today that it has joined a multi-state settlement with Raymond James & …

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California Joins Multi-State $12.4 Million Settlement With Broker ...

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Jul 11, 2023  · Raymond James Financial Services, Inc. is a broker-dealer registered in California since September 2, 1977, with 231 branch offices in California. Both entities show their …

ca.gov

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NASAA Announces $13 Million Settlement With Raymond James

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Multi-State Working Group Finds Firm Overcharged Customers. WASHINGTON, D.C. – (July 11, 2023) – The North American Securities Administrators Association (NASAA) has announced a …

nasaa.org

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WA State DFI Joins 52 Regulators Levying $20 Million Penalty …

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Jan 8, 2025  · - The data breach impacted 5.8 million customers. The $20 million multistate fine and corrective plan is the first such action by state regulators for a mortgage company data …

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Washington State Department Of Financial Institutions

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The Washington State Department of Financial Institutions protects consumers and provides fair regulation of financial services. ... Washington DFI Joins $17 Million Multi-State Enforcement …

wa.gov

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Montanans To Share Payout After Raymond James Settlement

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Jul 20, 2023  · HELENA, Mont. — Hundreds of Montanans will see money from a multimillion-dollar settlement with a major finance company. The $13 million agreement with Raymond …

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Washington DFI Joins $17 Million Multi-State Enforcement …

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1 day ago  · There were 325 press releases posted in the last 24 hours and 399,081 in the last 365 days.

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Washington DFI Joins $17 Million Multi-State Enforcement …

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5 days ago  · Information and resources from the Washington Department of Financial Institutions. ... Washington DFI Joins $17 Million Multi-State Enforcement Settlement With Edward Jones …

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Raymond James Will Pay $15M To Settle Hidden Fees Class Action

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Jun 14, 2019  · Close to 59,000 Raymond James Financial customers have secured a $15 million settlement resolving class action allegations that the company hit consumers with a hidden …

topclassactions.com

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Settlement Reached In $68 Million WA Investment Fraud Case

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Oct 25, 2023  · The WA State DFI announced Wednesday that they and the US Commodity Futures Trading Commission (CFTC) along with 29 other states have reached a settlement …

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FAQs about WA DFI Joins $12.4 Million Settlement with Raymond James for … Coupon?

Did Raymond James charge unreasonable commissions?

The investigation was led by state securities regulators in Alabama, California, Illinois, Massachusetts, Montana, and Washington and found that Raymond James charged unreasonable commissions on over 270,000 equity transactions and trades nationwide over the past five years. This practice resulted in overcharging its customers by $8.25 million. ...

Does Raymond James have to pay a fine?

Raymond James will also be required to pay administrative fines and pay costs associated with the investigation. Raymond James must also certify in writing that it has changed its policies and has enhanced its procedures to ensure that all commissions are fair and reasonable. ...

What does DFI do?

At DFI, we protect consumers and advance the financial health of Washington State. We do this by providing fair regulation of financial services and educating consumers. Tips and resources. Answers to common questions. DFI's Center for FinTech information. Information about Money Services Business licensing. ...

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