Latest News
- Disaster and Business Continuity
- Derivatives Operations +
-
Securities Operations
+
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
The SEC says the firm improperly charged advisory fees on inactive accounts and collected excessive commissions.
Raymond James has settled SEC charges that three of its units improperly charged advisory fees on inactive retail client accounts and charged excess commissions for brokerage-customer investments in certain unit investment trusts (UITs). The firm, a St. Petersburg, Florida-based investment bank and financial services company founded in 1961, has agreed to be censured and will...
Already a subscriber? Login here
