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Raymond James Financial Services, Inc.

Raymond James Financial Services, Inc. (CRD #6694, St. Petersburg, Florida) received a censure and fine of $10,000. According to the findings, the firm failed to enforce a supervisory system and written supervisory procedures adequately designed to achieve compliance with applicable securities laws, regulations, and NASD rules regarding the formation and maintenance of a partnership with a public customer of the firm. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C8A040107)

Did Raymond James Financial Services, Inc. manage your investments?

 

 

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