Violation Tracker Parent Company Summary
|Top 5 Offense Groups (Groups Defined)||Penalty Total||Number of Records|
|Top 5 Primary Offense Types||Penalty Total||Number of Records|
|toxic securities abuses||$200,000,000||1|
|investor protection violation||$27,165,983||9|
|benefit plan administrator violation||$633,715||1|
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.
MORGAN KEEGAN; Raymond James & Associates, Inc. et al.; RAYMOND JAMES AND ASSOCIATES; Raymond James Financial Services Advisors, Inc.; Raymond James Financial Services, Inc.
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.
|Company||Primary Offense Type||Year||Agency||Penalty Amount|
|Morgan Keegan & Company||toxic securities abuses||2011||SEC||$200,000,000|
|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 Financial Services, Inc.||investor protection violation||2004||SEC||$2,595,129|
|Morgan Keegan & Co., Inc.||investor protection violation||2004||SEC||$875,000|
|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|
|Morgan Keegan & Company, Inc.||investor protection violation||2006||SEC||$125,000|
|Raymond James Financial Services, Inc.||investor protection violation||2011||NJ-AG||$35,000|