Home Why FINRA's $500K Fine of Raymond James Was a Rare Move
 

Keywords :   


Why FINRA's $500K Fine of Raymond James Was a Rare Move

2016-03-28 08:36:20| Apparel - Topix.net

On the face of it, FINRA's recent $500,000 fine of Raymond James for violating a privacy rule may seem like small potatoes for a firm that reported $1.27 billion in net revenues last quarter. Moreover, there was very little about the case that would be considered unusual to the recruiting and hiring conventions within the highly competitive brokerage business.

Tags: fine move james rare

Category:Consumer Goods and Services

Latest from this category

All news

14.11UK must rebuild post-Brexit relations with EU, says Bank boss
14.11Meta fined 798m over 'unfair' Facebook Marketplace
14.11Meta fined 798m over 'unfair' Facebook Marketplace
14.11Amazon launches Temu and Shein rival with 'crazy low' prices
14.11Bid to soften farm tax change rejected by Treasury
14.11Baby milk prices 'punish those who don't breastfeed'
14.11Why Canada could become the next nuclear energy 'superpower'
14.11Apple accused of trapping and ripping off 40m iCloud customers
Consumer Goods and Services »
14.11AKB48 1st
14.11kindle 10
14.11
14.11YAMAHA PORTATONE PSR-340
14.112003 112
14.11 14533.5
14.11caligari 17
14.11 amnjx 27circus
More »