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Violation Tracker Individual Record

Company: Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.
Current Parent Company: Raymond James Financial
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $211,168
Year: 2024
Date: December 3, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. agreed to pay $211,168 to resolve allegations it charged commissions to many retail brokerage customers for small transactions that were unreasonable based on the size of the transactions.
Level of Government: state
Action Type: agency action
Agency: Arizona Corporation Commission
Civil or Criminal Case: civil
Facility State: Arizona
HQ Country of Current Parent: USA
HQ State of Current Parent: Florida
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.