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 …
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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 …
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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 …
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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 …
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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 …
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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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