Raymond James Financial Stock Losses

Raymond James Financial, based in St. Petersburg, Florida, is a full service broker-dealer with approximately 6500 registered representatives in over 2600 offices throughout the world. 

If you have lost $100,000 or more investing with Raymond James Financial, call 1-800-934-2921 right now to protect your rights.

Raymond James has been the subject of multiple regulatory inquiries from FINRA, the SEC, and the former NASD, which include the following:

- Raymond James was fined by FINRA and ordered to pay restitution to over 15,000 customers for overcharging commissions to its customers on low-priced stocks.

http://www.finra.org/Newsroom/NewsReleases/2011/P124536

- Raymond James was fined by the NASD for lax supervision of over 1000 producing branch managers throughout the United States.

http://www.finra.org/Newsroom/NewsReleases/2007/p018681

- Raymond James was fined $6.9 million for failing to supervise one of its registered representatives that participated in a Ponzi scheme that caused millions of dollars in losses for the victims.

http://www.sec.gov/news/press/2004-140.htm

- Raymond James received a cease and desist order from the SEC pertaining to the firm’s sale of Auction Rates Securities.

http://www.finra.org/web/groups/industry/@ip/@enf/@ad/documents/industry/p124534.pdf

 

Raymond James Financial stock losses? Contact us to protect your rights.

If you have lost $100,000 or more investing with Raymond James Financial, you may have a claim for recovery. Complete the form on this page or call 1-800-934-2921 for a free no obligation consultation with a lawyer. We work on a contingency basis, so rest assured that there will never be an out of pocket expense to you.