SEC
Whistleblower
Attorneys

September 17, 2019

Raymond James & Associates, Inc., Raymond James Financial Services Advisors, Inc., Raymond James Financial Services, Inc.

Trading and Pricing

SANCTION AMOUNT: Approximately $15 million

Defendants: Raymond James & Associates, Inc., Raymond James Financial Services Advisors, Inc., Raymond James Financial Services, Inc.

Respondents, three Raymond James entities, settled charges that they improperly charged advisory fees on inactive retail client accounts that had no trading activity for at least a year, and/or charged excess commissions for brokerage customer investments in certain unit investment trusts.

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