FINRA Fines Raymond James $1.9M Over Client Complaint Reporting
According to the settlement letter, the brokerage regulator argued Raymond James didn’t properly check that personnel were filling out forms to ensure that written customer complaints were submitted to FINRA quarterly.
According to the settlement letter, the brokerage regulator argued Raymond James didn’t properly check that personnel were filling out forms to ensure that written customer complaints were submitted to FINRA quarterly.
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