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雷蒙德·詹姆斯金融公司
Raymond James Financial，Inc。（NYSE：RJF）于1962年在佛罗里达州的圣彼得堡成立，是美国最大的跨国独立投资银行和金融服务公司之一。有大约8500名财务顾问，公司服务个人，公司，机构和市政当局。截至2021年9月30日，雷蒙德·詹姆斯（Raymond James）的管理资产约为1.18万亿美元。
Its US-based investment firms include Raymond James Financial Services, Raymond James and Associates, and Raymond James Financial Services Advisors. Its asset management firms include Eagle Asset Management, Ballast Point Ventures, LP, Carillion Tower Advisors, and Raymond James Trust, NA.
多年来，我们的brokerage firm negligenceShepherd Smith Edwards和Kantas（Investorlawyers.com的SSEK律师事务所）的律师BOB体育已代表投资者在金融行业监管局（FINRA）仲裁，调解和诉讼中与雷蒙德·詹姆斯（Raymond James）竞争。
如果您是雷蒙德·詹姆斯（Raymond James）的客户，他遭受损失并想探索您的法律选择（800）259-9010today.
雷蒙德·詹姆斯（Raymond James Advisors）可以选择以四种不同的方式与该公司有关联：
- Raymond James＆Associates（RJA）模型：The broker is an employee in a traditional branch setting under the supervision of a manager.
- Raymond James Advisor Select（RJAS）：This business model allows the financial advisor to use the firm’s administrative resources while making their own decisions regarding where to work, staffing, and daily operations. Compensation is based on the net profitability of the independent employee’s office. There is a higher gross payout than when working under the traditional employee model.
- Raymond James Financial Services（RJFS）模型：These independent contractors have full control of running their businesses. They are affiliated with Raymond James and pay for certain services as needed.
- Independent Advisors Division (IAD):这些是注册的独立投资顾问，他们依靠雷蒙德·詹姆斯（Raymond James）清算服务和其他资源。
雷蒙德·詹姆斯有一个duty to superviseits registered brokers and investment advisors. Broker-dealers may be held liable for their financial advisors’ misconduct or negligence if investor losses result.
What Are Some of The Recent Regulatory Cases Involving Raymond James?
Raymond James Brokers Unsuitably Recommended Northstar (Bermuda)
2019年11月：雷蒙德·詹姆斯（Raymond James）公司支付了超过1200万美元的客户赔偿金
FINRA ordered Raymond James Financial Services, Raymond James and Associates, and Merrill Lynch, Pierce, Fenner & Smith to pay over $12M in customer restitution for alleged supervisory failures related to 529 Plan Share class recommendations. The clients purportedly incurred excess fees on investments they made in 529 savings plans.
2019年9月：Raymond James Entities支付1500万美元的SEC和解协议
The US Securities and Exchange Commission (SEC) arrived at a settlement with Raymond James Financial, Raymond James & Associates, and Raymond James Financial Services Advisors. The three RJF entities agreed to pay $15M.
金融公司被指控不正确地收取无效零售客户帐户的咨询费，并为经纪客户投资收取过多的佣金，涉及一定unit investment trusts（UITS）。
December 2017: Raymond James Financial Services Fined $2M by FINRA For Poorly Designed Supervisory System
FINRA fined Raymond James Financial Services $2M for purportedly not maintaining a reasonably enough designed supervisory system or procedures for reviewing email communications.
自我监管组织（SRO）表示，这导致数百万封电子邮件未能接受“有意义的审查”，并造成了雷蒙德·詹姆斯（Raymond James）人员某些不当行为可能未被发现的“不合理”风险。
May 2016: Raymond James Fined $17M For Anti-Money Laundering Compliance Failures
FINRA将雷蒙德·詹姆斯（Raymond James）罚款1700万美元，用于反洗钱（AML）合规性失败。该公司的前AML合规官Linda Busby被暂停了三个月。
OurNorthstar金融服务（百慕大）投资律师represent investors, including foreign nationals, against Raymond James over losses they sustained in this offshore entity.
经验丰富的经纪人的疏忽律师代表投资者反对雷蒙德·詹姆斯（Raymond James）To schedule your free, no-obligation case consultation with SSEK Law Firm,在线与我们联系或立即致电（800）259-9010。我们经验丰富的证券律师帮助成千上bob200体育万的投资者弥补了他们的财务损失。
