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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 ...
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]
Alex Brown & Sons. Alex. Brown, a Division of Raymond James. Alex. Brown & Sons was the first investment bank in the United States, founded by Alexander Brown in 1800 in Baltimore, Maryland. The firm was acquired by Bankers Trust in 1997 to form BT Alex. Brown, and then integrated into Deutsche Bank in 1999 following Deutsche's acquisition of BT.
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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.
Jefferies Group LLC is an American multinational independent investment bank and financial services company that is headquartered in New York City. The firm provides clients with capital markets and financial advisory services, institutional brokerage, securities research, and asset management. This includes mergers and acquisitions ...