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Violation Tracker Individual Record

Company: Raymond James and Associates Inc.
Current Parent Company: Raymond James Financial
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $4,200,000
Year: 2016
Date: June 5, 2016
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: 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
Facility State: Vermont
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)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.