February 5, 2024 - $200K penalties, restitution for overcharging commissions to Oregon investors
By Oregon Department of Consumer and Business Services Press Release, Salem – Oregon’s Division of Financial Regulation (DFR) joined a multi-state settlement alleging that Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. charged unreasonable commissions to retail customers on small-dollar transactions. As a result of a coordinated […]