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
23.11'Trust and reserve judgement' on rebrand, says Jaguar
23.11UK wants to hire EU negotiator to 'reset' relations
23.11Sisters build global beauty brand from a garage
23.11Versace bag for 15: Why Christmas shoppers are choosing charity shops
23.11'We are being robbed': Homeowners feel trapped by rising fees
22.11'Scammers sent courier to steal 4,000'
22.11Spain fines budget airlines including Ryanair 179m
22.11Formulating Biphasic and Triphasic Products
Consumer Goods and Services »
23.11
23.11 85
23.11DANCEWITHDRAGON2 811
23.11 N5000VSE
23.11EZY POWER EDIT6
23.11RR4
23.1126.5 HG
23.11VISSLA
More »