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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Raymond James Financial
Ownership Structure: publicly traded (ticker symbol RJF)
Headquartered in: Florida
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000: $310,126,518
Number of records: 44
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$294,463,44241
consumer-protection-related offenses$15,000,0001
employment-related offenses$663,0762
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$200,000,0002
investor protection violation$77,463,44238
anti-money-laundering deficiencies$17,000,0001
consumer protection violation$15,000,0001
benefit plan administrator violation$633,7151
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
Morgan Keegan & Companytoxic securities abuses2011SEC$200,000,000
Morgan Keegan & Companytoxic securities abuses2013MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.anti-money-laundering deficiencies2016FINRA$17,000,000
Raymond James & Associates, Inc. et al.investor protection violation2019SEC$15,000,000
Raymond James Financialconsumer protection violation2019private lawsuit-federal$15,000,000
Raymond James & Associates, Inc. et al.investor protection violation2023MULTI-FIN$12,450,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.investor protection violation2015FINRA$8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.investor protection violation2019FINRA$8,000,000
Raymond James Financial Services Advisors, Inc.investor protection violation2019SEC$6,877,048
Raymond James and Associates Inc.investor protection violation2016VT-FIN$4,200,000
Raymond James & Associates Inc.investor protection violation2000FINRA$3,410,000
Raymond James Financial Services Inc.investor protection violation2007FINRA$2,750,000
Raymond James Financial Services, Inc.investor protection violation2004SEC$2,595,129
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.investor protection violation2011FINRA$2,115,000
Raymond James Financial Services, Inc.investor protection violation2017FINRA$2,000,000
Raymond James & Associates, Inc.investor protection violation2011MULTI-FIN$1,750,000
Raymond James & Associates, Inc.investor protection violation2009FINRA$1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.investor protection violation2005FINRA$888,000
Morgan Keegan & Co., Inc.investor protection violation2004SEC$875,000
Morgan Keegan & Company, Inc.investor protection violation2016MO-SEC$850,000
Morgan Keegan and Co. Inc.benefit plan administrator violation2012EBSA$633,715
Raymond James & Associatesinvestor protection violation2016SEC$600,000
Morgan Keegan & Co., Inc.investor protection violation2006SEC$558,806
Raymond James & Associates, Inc.investor protection violation2015SEC$500,000
Raymond James & Associates, Inc.investor protection violation2022SEC$500,000
Raymond James & Associates, Inc.investor protection violation2015IN-SEC$475,000
Raymond James Financial Services Inc.investor protection violation2004FINRA$400,000
Raymond James & Associates, Inc.investor protection violation2023MO-SEC$150,000
Morgan Keegan & Company, Inc.investor protection violation2006SEC$125,000
Raymond James Financial Services Inc.investor protection violation2017PA-BKG$125,000
Morgan Keegan & Co.investor protection violation2005AL-SEC$100,000
Raymond James & Associates, Inc.investor protection violation2005FINRA$90,000
Morgan Keegan & Co.investor protection violation2012AR-SEC$59,659
Raymond James Financial Services, Inc.investor protection violation2009MO-SEC$52,300
Raymond James & Associates, Inc.investor protection violation2020MI-SEC$50,000
Raymond James Financial Services, Inc.investor protection violation2007WI-FIN$50,000
Raymond James & Associates, Inc.investor protection violation2022SC-SEC$50,000
Raymond James Financial Services, Inc.investor protection violation2011NJ-AG$35,000
Raymond James & Associateswage and hour violation2020MI-LEO$29,361
Morgan Keegan & Co.investor protection violation2017AL-SEC$20,000
Morgan Keegan & Co. Inc.investor protection violation2010RI-FIN$20,000
Morgan Keegan & Co.investor protection violation2010AL-SEC$15,000
Raymond James Financial Services, Inc.investor protection violation2010CT-SEC$15,000
Morgan Keegan & Company, Inc.investor protection violation2007MS-SEC$12,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.