585:. "FINRA found that during a nine-year review period, Raymond James’ email review system was flawed in significant respects, allowing millions of emails to evade meaningful review. This created the unreasonable risk that certain misconduct by firm personnel could go undetected by the firm. The combinations of words and phrases – otherwise known as the “lexicon” – used to flag emails for review were not reasonably designed to detect certain potential misconduct that Raymond James, in light of its size, structure, business model, and experience from prior disciplinary actions, knew or should have anticipated would recur from time to time. The firm also failed to devote adequate personnel and resources to the team that reviewed emails flagged by the system, even as the number of emails increased over time."
84:
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581:. "RJA was fined $ 8 million and RJFS was fined $ 9 million for failing to establish and implement adequate AML procedures, which resulted in the firms’ failure to properly prevent or detect, investigate, and report suspicious activity for several years. RJA's former AML Compliance Officer, Linda L. Busby, was also fined $ 25,000 and suspended for three months.". On December 21, 2017 Raymond James was fined
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437:, joined in 1966 and assumed leadership of the firm in 1970. The firm planned to go public in 1969, but market conditions delayed its plan until 1983. Tom turned over the CEO's post to Paul Reilly in 2010, and his title as Chairman of the Board to Paul Reilly in 2016. He remains on the leadership team as Chairman Emeritus.
544:
and with state securities regulators led by
Florida and Texas—resolved more than three years of investigation related to activity in the ARS market. Without admitting or denying the allegations, the firm also agreed to pay a fine totaling $ 1.75 million to the state regulators, but was not fined by
524:
fined
Raymond James $ 2.75 million for lax supervision of producing branch managers. The investigation began with one Raymond James manager, who worked from an office in her Wisconsin home, handling approximately 700 accounts and selling mainly mutual funds and variable annuities. The Wisconsin
511:
that raised about $ 44.5 million from investors in 1999-2000. Herula himself raised about $ 16.5 million of investor funds, most of which was later transferred to his wife's brokerage account at
Raymond James. He was arrested in Bermuda and pleaded guilty to criminal charges of wire fraud and
491:
Raymond James has four main lines of operation: private client group, capital markets (made up of equity and fixed income capital markets as well as public finance), asset management group (made up of asset management services and
Carillon tower advisers) and banking.
545:
the SEC.Raymond James sold $ 2.3 billion worth of ARS, underwrote $ 1.2 billion, and was the auction dealer for over $ 725 million. Since the $ 330 billion market for ARS crashed in 2008, at least 19 underwriters and broker-dealers were sued in
561:
ordered
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to pay restitution of $ 1.69 million to 15,500 of their clients for charging excessive commissions on more than 27,000
823:
507:
In 2004, the SEC fined
Raymond James Financial Services, Inc. $ 6.9 million for failure to supervise former broker Dennis Herula. Herula was accused of participating with others in a
433:, formed Robert A. James Investments. In 1964, it merged with Raymond & Associates, founded by Edward Raymond in 1963, to form Raymond James & Associates. Robert James' son,
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company providing financial services to individuals, corporations, and municipalities through its subsidiary companies that engage primarily in investment and
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As of the fiscal quarter ending
September 30, 2022, the firm had delivered 139 consecutive quarters of profitability. In June 2016, it was listed as a
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As of
September 30, 2022, Raymond James has approximately 8,700 financial advisors throughout the United States, Canada and overseas. Total client
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1068:"FINRA Orders Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to Pay $ 1.69 Million in Restitution for
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1117:"FINRA Fines Raymond James Financial Services, Inc. $ 2 Million for Failing to Reasonably Supervise Email Communications | FINRA.org"
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540:(ARS) sold to clients through its domestic broker/dealer subsidiaries prior to February 13, 2008. The agreement—reached with the
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In
September 2016, the firm announced its acquisition of Deutsche Bank Wealth Management's US private client services unit,
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manager was accused of selling unsuitable aggressive mutual funds and variable annuities over a four-year period.
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1093:"FINRA Fines Raymond James $ 17 Million for Systemic Anti-Money Laundering Compliance Failures | FINRA.org"
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638:"Raymond James Financial, Inc. – Company Profile from Hoover's – Companies & Details"
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It may require cleanup to comply with
Knowledge's content policies, particularly
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American multinational independent investment bank and financial services company
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476:. The purchase, which amounted to $ 172.5 million, included Scouts Investments.
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transactions. The trades were made in client accounts between 2006 and 2010.
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1022:"Raymond James Announces Agreement to Repurchase Auction Rate Securities"
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733:"Tom James to step down as chairman of Raymond James early next year"
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On June 29, 2011, Raymond James announced an agreement to repurchase
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1074:(Press release). Financial Industry Regulatory Authority. 2011-09-29
583:$ 2 million for failing to reasonably supervise email communications
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579:$ 17 million for systemic anti-money laundering compliance failures
981:. Shepherd Smith Edwards & Kantas LTD LLP. Reuters. 2004-09-13
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In April 2017, the firm purchased Reams Asset Management from
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Raymond James was founded in 1962 when St. Petersburg broker,
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and investment banking firms not headquartered in New York.
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803:"Here Are The 15 New Companies Joining The Fortune 500"
620:"Raymond James' Fiscal 2023 Annual Report (Form 10-K)"
601:, is named after the company through a licensing deal.
33:
A major contributor to this article appears to have a
448:, creating one of the country's largest full-service
1043:"Raymond James auction-rate suit first to be upheld"
848:"Raymond James to pay $ 172M for Scout Investments"
597:, a multi-purpose stadium mostly hosting sports in
569:FINRA also fined RJA $ 225,000 and RJFS $ 200,000.
440:In 2012, the firm purchased the Canadian assets of
824:"Press Release - News & Media | Raymond James"
757:"Raymond James to Buy Morgan Keegan & Company"
1152:Business data for Raymond James Financial, Inc.:
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2038:Financial services companies established in 1962
2014:
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979:"Regulators Charge Brokerage Firm Raymond James"
2023:Companies listed on the New York Stock Exchange
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380:Financials as of September 30, 2023.
2028:Companies based in St. Petersburg, Florida
1997:
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522:National Association of Securities Dealers
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901:"RAYMOND JAMES FINANCIAL INC.(RJF)- NYSE"
64:Learn how and when to remove this message
577:On May 18, 2016 Raymond James was fined
552:
1885:China International Capital Corporation
955:"From Brokerage House to the Big House"
784:. Raymond James Financial. 30 June 2018
624:U.S. Securities and Exchange Commission
559:Financial Industry Regulatory Authority
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2033:American companies established in 1962
2015:
1001:"Could you fall for investment fraud?"
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2043:Investment banks in the United States
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1024:. Raymond James Financial. 2011-06-29
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512:sentenced to 188 months in prison.
483:are approximately $ 1.09 trillion.
13:
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542:Securities and Exchange Commission
444:. In April 2012, they merged with
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44:. Please discuss further on the
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999:Associated Press (2006-08-04).
992:
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711:"Raymond James Company History"
377:Footnotes / references
1506:NH Investment & Securities
953:Churchill, John (2005-02-17).
795:
782:"Raymond James By the Numbers"
774:
749:
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516:Supervision of branch managers
413:, Raymond James is one of the
1:
1636:Financial Technology Partners
1406:Lloyds Bank Corporate Markets
1386:Handelsbanken Capital Markets
929:"RJ unit takes internal heat"
605:
389:is an American multinational
387:Raymond James Financial, Inc.
351:
77:Raymond James Financial, Inc.
462:company for the first time.
415:largest banking institutions
7:
1875:Barrenjoey Capital Partners
1768:William Blair & Company
1751:Keefe, Bruyette & Woods
1070:Charging Unfair Commissions
588:
446:Morgan Keegan & Company
391:independent investment bank
146:; 62 years ago
10:
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1982:
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1756:Miller Buckfire & Co.
1701:Perella Weinberg Partners
1651:Harris Williams & Co.
1561:
1540:
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1496:Mitsubishi UFJ Securities
1464:
1341:
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863:"Raymond James Financial"
805:. fortune.com. 2016-06-06
713:. Raymond James Financial
474:UMB Financial Corporation
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1381:First Abu Dhabi Bank CIB
341:US$ 10.21 billion (2023)
324:US$ 78.36 billion (2023)
307:US$ 1.733 billion (2023)
290:US$ 2.280 billion (2023)
1915:Guotai Junan Securities
1880:China Galaxy Securities
1726:Raymond James Financial
1596:Brown Brothers Harriman
1446:Standard Chartered CCIB
652:"Who Is Raymond James?"
557:In September 2011, the
538:auction rate securities
529:Auction rate securities
481:assets under management
411:St. Petersburg, Florida
173:St. Petersburg, Florida
1940:Mirae Asset Securities
1895:Daiwa Securities Group
1591:BDT & MSD Partners
1333:Wells Fargo Securities
737:www.investmentnews.com
1900:Everbright Securities
1731:Roth Capital Partners
1691:Needham & Company
1676:Lincoln International
1516:SMBC Nikko Securities
662:on September 16, 2016
656:Raymond James Stadium
595:Raymond James Stadium
553:Excessive commissions
467:Alex Brown & Sons
42:neutral point of view
1686:Moelis & Company
1441:Société Générale CIB
1376:Danske Bank LC&I
959:WealthManagement.com
861:Editorial, Reuters.
828:www.raymondjames.com
502:SEC v. Dennis Herula
1970:Zhongtai Securities
1854:Rothschild & Co
1844:Renaissance Capital
1646:Guggenheim Partners
1641:Greenhill & Co.
1616:Centerview Partners
1579:FBR Capital Markets
1569:Allen & Company
1511:SBI Capital Markets
1366:Crédit Agricole CIB
1311:RBC Capital Markets
1291:BMO Capital Markets
626:. 21 November 2023.
573:Notable FINRA Fines
409:. Headquartered in
347:Number of employees
191:(Chairman Emeritus)
135:Investment services
78:
1955:Samsung Securities
1920:Haitong Securities
1799:ABG Sundal Collier
1763:Stone Key Partners
1574:B. Riley Financial
1296:CIBC World Markets
885:has generic name (
487:Current operations
403:investment banking
399:financial planning
395:financial services
253:financial analysis
229:investment banking
221:commercial banking
76:
2010:
2009:
1978:
1977:
1950:Orient Securities
1945:Nomura Securities
1925:Huatai Securities
1910:Guosen Securities
1890:China Renaissance
1773:WR Hambrecht + Co
1716:Qatalyst Partners
1611:Cantor Fitzgerald
1606:Canaccord Genuity
1529:
1528:
1501:Mizuho Securities
1474:BOC International
763:. 11 January 2012
450:wealth management
442:Allied Irish Bank
401:, in addition to
384:
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245:wealth management
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73:
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37:with its subject.
2050:
2000:
1999:
1990:
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1965:Somerley Capital
1960:Shenwan Hongyuan
1789:Arbuthnot Latham
1736:Solomon Partners
1671:Leerink Partners
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1479:CITIC Securities
1421:Nordea CI&IB
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