Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) was censured, fined $15,000 and required to revise its WSPs (Written Supervisory Procedures). Without admitting or denying the findings, the firm consented to […]