Violation Tracker Parent Company Summary

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: 
$235,594,157
Number of records: 
27
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$234,960,44226
employment-related offenses$633,7151
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$200,000,0002
investor protection violation$34,960,44224
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.

Associated Names: 

MORGAN KEEGAN; Raymond James & Associates, Inc.; Raymond James & Associates, Inc. et al.; Raymond James Financial Services Advisors, Inc.; Raymond James Financial Services, Inc.

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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Company Primary Offense Type Year Agency Penalty Amountsort icon
Morgan Keegan & Company toxic securities abuses 2011 SEC $200,000,000
Morgan Keegan & Company toxic securities abuses 2013 MULTI-FIN (*) $100,000,000
Raymond James & Associates, Inc. et al. investor protection violation 2019 SEC $15,000,000
Raymond James Financial Services Advisors, Inc. investor protection violation 2019 SEC $6,877,048
Raymond James and Associates Inc. investor protection violation 2016 VT-FIN $4,200,000
Raymond James Financial Services, Inc. investor protection violation 2004 SEC $2,595,129
Raymond James & Associates, Inc. investor protection violation 2011 MULTI-FIN $1,750,000
Morgan Keegan & Co., Inc. investor protection violation 2004 SEC $875,000
Morgan Keegan & Company, Inc. investor protection violation 2016 MO-SEC $850,000
Morgan Keegan and Co. Inc. benefit plan administrator violation 2012 EBSA $633,715
Raymond James & Associates investor protection violation 2016 SEC $600,000
Morgan Keegan & Co., Inc. investor protection violation 2006 SEC $558,806
Raymond James & Associates, Inc. investor protection violation 2015 SEC $500,000
Raymond James & Associates, Inc. investor protection violation 2015 IN-SEC $475,000
Morgan Keegan & Company, Inc. investor protection violation 2006 SEC $125,000
Raymond James Financial Services Inc. investor protection violation 2017 PA-BKG $125,000
Morgan Keegan & Co. investor protection violation 2005 AL-SEC $100,000
Morgan Keegan & Co. investor protection violation 2012 AR-SEC $59,659
Raymond James Financial Services, Inc. investor protection violation 2009 MO-SEC $52,300
Raymond James & Associates, Inc. investor protection violation 2020 MI-SEC $50,000
Raymond James Financial Services, Inc. investor protection violation 2007 WI-FIN $50,000
Raymond James Financial Services, Inc. investor protection violation 2011 NJ-AG $35,000
Morgan Keegan & Co. investor protection violation 2017 AL-SEC $20,000
Morgan Keegan & Co. Inc. investor protection violation 2010 RI-FIN $20,000
Morgan Keegan & Co. investor protection violation 2010 AL-SEC $15,000
Raymond James Financial Services, Inc. investor protection violation 2010 CT-SEC $15,000
Morgan Keegan & Company, Inc. investor protection violation 2007 MS-SEC $12,500
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