The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) was censured, fined $27,500 and required to revise its WSPs regarding compliance with NASD Rule 2440 and IM-2440. […]

Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $12,500 and ordered to pay $1,849.33, plus interest, in restitution to investors.   Also, without admitting or denying the findings, the firm consented to the described sanctions and to […]