Updated Thursday, April 17, 2014 as of 12:17 PM ET
Practice - Regulatory/Compliance
FINRA Arbitration Panel Hits Raymond James with $1.7 Million Penalty
Financial Planning
Friday, May 20, 2011
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A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $1.7 million to a Texas man and the estate of his deceased wife, after finding that a former independent contractor at Raymond James Financial Services improperly managed their portfolio using life insurance and variable annuities.

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