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Raymond James & Associates, Inc.

Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) received a censure and fine of $25,000, and required to pay $1,137.50, plus interest, in restitution to public customers. According to the findings, the firm failed to use reasonable diligence to ascertain the best inter-dealer market; failed to buy or sell in such market so that the resultant price to its customers was as favorable as possible under prevailing market conditions; and to ascertain the best inter-dealer market by failing to execute customer market orders fully and promptly. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010028)

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