Updated Thursday, July 10, 2014 as of 5:44 PM ET
Raymond James Files Appeal to $1.7 Million FINRA Arbitration Penalty
Financial Planning
Friday, July 1, 2011
Partner Insights

Raymond James Financial Services has challenged a $1.7 million FINRA arbitration award that was handed down in May, saying questionable transactions should have been nullified in the case, and that the panel overstepped its authority in granting certain parts of the award. 

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

FP50 2014: Fastest-Growing IBDs

Current Issue

The July Issue is now online!


Industry Events

August 10, 2014 |

September 9, 2014 |

September 17, 2014 |

Already a subscriber? Log in here