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In September 2011, the Financial Industry Regulatory Authority ordered Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to pay restitution of $1.69 million to 15,500 of their clients for charging excessive commissions on more than 27,000 securities transactions. The trades were made in client accounts between 2006 and ...
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Regions Financial Corporation is an American bank holding company headquartered in the Regions Center in Birmingham, Alabama. [3] The company provides retail and commercial banking, trust, stock brokerage, and mortgage services. Its banking subsidiary, Regions Bank, operates about 2,000 automated teller machines and 1,300 branches in 15 states ...
chairman of Raymond James Financial for 30 years. Spouse. Mary James. Children. 2. Parent. Robert James. Thomas James (born 1942 – 1943) is an American billionaire businessman, the chairman of Raymond James Financial, founded by his father Robert James, for 40 years. As of March 2022, his net worth was estimated at US$2.3 billion.
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In July 2002, the company sold its stock brokerage subsidiary to Raymond James Financial. [5] In 2005, the company transferred its Private Client and Capital Markets business to Citigroup in exchange for Citigroup's asset management business in a $3.7 billion transaction, turning Legg Mason into the 5th largest money management firm in the U.S. [5]