Compliance Breaches Result in $ 15 Million Penalty for Raymond James | Item
According to SEC Order, at various times, from at least January 2013 to May 2018,…
Monthly Archives: September, 2019
Raymond James to pay $ 15 million to settle excessive fees with the SEC
Raymond James struck a deal with the Securities and Exchange Commission (SEC) in which the…
Raymond James to pay SEC $ 15 million for wrongful charges
Raymond James central campus in St. Petersburg, Florida. The Securities and Exchange Commission on Tuesday…
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Top 3 ETFs for Long-Term Investors
If you are an investor who favors the buy and hold strategy of letting carefully…
SEC accuses Florida RIA of pocketing $ 160,000 in “unwarranted” charges
The Securities and Exchange Commission (SEC) has charged a Fort Myers, Florida-based RIA and its…
Mutualised investment vehicles: definition and types
What is a mutualized investment vehicle?A common investment vehicle is a way to put your…
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Terms starting with “U”
Education General dictionary Economy business Finance Roth IRA Actions Mutual fund AND F 401 (k)…