Raymond James
Raymond James Hires UBS’s Kim Jenson for Senior Branch System Role
UBS’s longtime Chicago complex manager will be chief operating officer of Raymond James & Associates.
RayJay to Name Wirehouse Vet Bert White to Run Expanded Florida Complex
Ex-Morgan Stanley/Smith Barney manager will be tapped to revive far-reaching branch group, some of which are leaderless after anti-money-laundering settlement.
Raymond James to Pay $150 Million to Settle Ski Resort Fraud Case
Settlement with SEC receiver ends five lawsuits hanging over the brokerage firm related to claims that it abetted massive fraud against foreign investors.
Raymond James Riles Some Recruiters with Pay Policy
Florida firm halves some headhunters’ upfront fee to 3% of a recruit’s trailing-12 revenue.
Raymond James Sidelines Florida Manager Tied to Major Fraud Case
Frank Amigo, manager of firm’s South Florida complex, allegedly helped a broker arrange margin loans for client accused of $200 million Ponzi scheme.
SEC Cracks Down on Wrap Account Abuses
Regulatory actions focus on undisclosed commission charges in fee-based programs.
$2.4 Million Broker Jumps to RayJay after 24 Years with Wells Fargo
South Carolina’s Preston Covington, former Interstate Johnson Lane branch manager, says Florida firm’s culture ‘just felt right.’
Raymond James CEO Optimistic About DOL Rule’s Demise
Firm may have been “lucky” in delaying restrictive changes in pricing and products that may not be necessary, executive says.
UBS Broker in Texas Jumps to RayJay, Splitting from Longtime Partner
Kathryn Hayden, 65, is “amicably” splitting the $300 million book she and her former teammate had run.
Raymond James and Former Employee Settle ‘Animal House’ Complaint
Woman who advised brokers on succession planning has resolved her sexual harassment claim.
Raymond James Slings Mud at Big-Firm Rivals
Newly recruited RayJay trio with more than 20 years’ experience at Merrill say they couldn’t do their best work at Merrill Lynch.