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Violation Tracker Individual Record

Company: Raymond James Financial
Current Parent Company: Raymond James Financial
Penalty: $15,000,000
Year: 2019
Date: October 25, 2019
Offense Group: consumer-protection-related offenses
Primary Offense: consumer protection violation
Secondary Offense: investor protection violation
Violation Description: Raymond James agreed to pay $15 million to settle litigation alleging it charged customers unauthorized fees.
Level of Government: federal
Action Type: private litigation
Court: Southern District of Florida
Civil or Criminal Case: civil
Case ID: 0:15-cv-60334
Case Name: Brink v. Raymond James & Associates, Inc.
Private Lawsuit Resolution Type: settlement
HQ Country of Current Parent: USA
HQ State of Current Parent: Florida
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.