Violation Tracker Individual Record
Company:Raymond James and Associates Inc.
Date:June 5, 2016
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
Raymond James agreed to pay $1,450,00 to the state and $2,750,000 to investors to resolve allegations that it improperly supervised its employees involved in marketing investments under the EB-5 program.
Level of Government:state
Action Type:agency action
Agency:Vermont Department of Financial Regulation
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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