Violation Tracker Individual Record
Company:Raymond James & Associates, Inc.
Date:June 18, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
The SEC announced enforcement actions against 36 municipal underwriting firms for violations in municipal bond offerings.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Florida
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
Source of Data:
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