Violation Tracker Individual Record
Company:Raymond James & Associates, Inc.
Date:June 29, 2011
Offense Group:financial offenses
Primary Offense:investor protection violation
Raymond James agreed to pay $1.75 million to a group of states to resolve allegations the company failed to warn investors about the risks of auction-rate securities.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators Case
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
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