Raymond James Financial fined for failing to supervise

02/22/2007 | Registered Rep. · NYTimes.com

The NASD fined Raymond James Financial $2.75 million for failing to properly supervise more than 1,100 branch managers. NASD also permanently barred a Raymond James employee from the industry after she urged an 84-year-old woman to put most of her money into a single, aggressive mutual fund.

View Full Article in:

Registered Rep. · NYTimes.com

Published in Brief: