NASAA Announces $13 Million Settlement With Raymond James
July 12, 2023
July 12, 2023
WASHINGTON, July 12 (TNSpp) -- The North American Securities Administrators Association issued the following news release:
The North American Securities Administrators Association (NASAA) has announced a $13 million settlement with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. resulting from an investigation into the company's practices of charging unreasonable commissions to retail customers on small dollar transactions.
The investigat . . .
The North American Securities Administrators Association (NASAA) has announced a $13 million settlement with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. resulting from an investigation into the company's practices of charging unreasonable commissions to retail customers on small dollar transactions.
The investigat . . .