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Financial Planning
May 1, 2010
Marion Asnes |
40 Years of Tom James When Tom James became CEO of Raymond James in 1970, the Dow Jones Industrial Average was in the low 800s. He's had quite a ride.   |
On Wall Street
August 1, 2009
Mark Astarita |
Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry. |
Investment Advisor
April 2010 |
Changes Personnel moves: The board of Raymond James Financial confirmed February 19 that Paul Reilly will succeed Tom James as CEO... Scott Dell'Orfano, currently VP and head of sales, will assume the additional duties of overseeing FIWS's relationship management team... more... |
Registered Rep.
June 1, 2006
John Churchill |
Life After Tom After 36 years as CEO of Raymond James Financial, 63-year-old Thomas James may one day soon have time to improve his golf game. |
Registered Rep.
January 15, 2009 |
Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man. |
Registered Rep.
September 26, 2008 |
Ray Jay Wants In On Bank Action Raymond James Financial Services plans to convert itself into a bank. |
Investment Advisor
March 2009
James J. Green |
Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired. |
Registered Rep.
October 22, 2003
Will Leitch |
Hard Words from Tom James for After-Hours Traders Investors angry about mounting evidence of mutual fund trading irregularities have nothing on Raymond James chairman and CEO Tom James. "It's fraud, plain and simple," James says of the after-hours and market-timing trading practices exposed in investigations by Eliot Spitzer. |
Registered Rep.
September 2, 2009
John Churchill |
SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible. |
Investment Advisor
February 2009
Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization. |
Investment Advisor
June 2009 |
B/D News & Products Important news for broker/dealers: The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service... Fraud charges against several entities and individuals who operate the Reserve Primary Fund... more... |
CFO
February 1, 2009
Edward Teach |
The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator? |
Investment Advisor
March 1, 2011
John Sullivan |
Being Rick Ketchum The Financial Services Institute OneVoice conference in Phoenix in January featured FINRA head Richard "Rick" Ketchum, and the program's only major applause line came when FSI reiterated its support of FINRA as the industry's only governing SRO. |
Registered Rep.
December 9, 2003
Will Leitch |
Raymond James Audits Itself In the wake of last week's news that regulators have recommended "enforcement action" against Raymond James Financial for failure to offer clients breakpoints, the Florida-based brokerage has called for an all-hands-on-deck audit of its mutual fund trading. |
Registered Rep.
December 1, 2004
Karen F. Donovan |
Raymond James Fights a Lonely Battle with the SEC After nearly two years of negotiations, the agency charged Raymond James Financial Services with civil fraud in connection with the conduct of a rogue broker who worked off-site as an independent rep in Cranston, R.I. |
Registered Rep.
July 21, 2011
Diana Britton |
Raymond James Rep Count, Assets Up Amid Tough Recruiting Environment Raymond James Financial's private client group added 20 advisors and reported a $3 billion boost in client assets. |
Registered Rep.
April 24, 2009
Halah Touryalai |
Raymond James Takes a 2Q Hit -- But Gains Retail Advisors Raymond James Financial posted dismal overall earnings for the second quarter, but its private client group appears to be a bright spot. |
Registered Rep.
January 23, 2009
Halah Touryalai |
Raymond James Lookin' Good--But For How Long? The folks at Raymond James have something to smile about -- the company posted positive numbers for the first quarter of fiscal 2009, and managed to beat some analysts' expectations. |
Investment Advisor
March 2009
James J. Green |
News: SEC's Top Cop Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private sector. |
Investment Advisor
June 2009
Melanie Waddell |
Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way. |
Registered Rep.
April 21, 2011
Diana Britton |
Raymond James Adds Assets, Loses Advisors Raymond James Financial's Private Client Group led the firm's growth in the second quarter. |
BusinessWeek
May 14, 2009
Maria Bartiromo |
SEC Chief Mary Schapiro: The Watchdog's New Teeth A discussion with with the new SEC Chief Mary Schapiro. |
Financial Advisor
March 2011
Evan Simonoff |
Seeing Is Almost Believing FINRA CEO, Rick Ketchum, came across as an exceptionally intelligent, well-meaning person with a remarkable understanding of both the securities and investment advisory businesses. |
Registered Rep.
January 14, 2009 |
Schapiro, FINRA Head And Obama's SEC Chair Selection Head To D.C. Tomorrow For A Confirmation Hearing Mary L. Schapiro heads to Capitol Hill tomorrow morning for the hearing on her Senate confirmation as President-elect Barack Obama's nominee to chair the U.S. Securities and Exchange Commission. |
Registered Rep.
October 6, 2004
Leitch & Gaffen |
Raymond James Fights the SEC's Fraud Charges The SEC brought fraud charges against the Tampa-based firm, saying the firm had looked the other way when a former broker scammed investors of approximately $44.5 million between 1999 and 2000. |
Registered Rep.
October 20, 2011
Diana Britton |
Raymond James Posts Flat Earnings, Record Advisor Productivity in Fiscal Q4 CEO Paul Reilly said the private client group had strong performance driven by record advisor productivity. |
Financial Planning
December 1, 2010
Donna Mitchell |
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. |
Registered Rep.
April 2, 2012
Diana Britton |
It's Official: Morgan Keegan Advisors Now Work for Raymond James The next step in the integration process will be to roll out Raymond James' products and services to Morgan Keegan advisors. |
Registered Rep.
May 29, 2008
John Churchill |
Clearing Firm Faces SEC Charges, Small Firm Movement Tarnished Richard Goble, a leading critic of FINRA and vociferous supporter of gentler regulation for small brokerage firms, has been hit with serious charges of fraud from the SEC. |
On Wall Street
August 1, 2012 |
Who's News: Recent Hirings Stifel Nicolaus has hired Richard Ward in Irvine, Calif... Wells Fargo Advisors nabbed five new advisors with $849 million in client assets... Raymond James' employee broker-dealer arm, Raymond James & Associates, has hired Tom Ford and Jeff Jones in Peoria, Ill., from Morgan Stanley Smith Barney... |
Wall Street & Technology
June 29, 2005
Maria Santos |
Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002. |
Wall Street & Technology
November 18, 2005
Maria Wakem |
E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished. |
Investment Advisor
February 2007 |
February 2007 Ann Combs, former Assistant Secretary of Labor, will join Vanguard this month... The Financial Planning Association's chairman, James Barnash, announced plans to leave his post... etc. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
Investment Advisor
April 2009 |
Group Think News from FINRA, IAA, NAVA, NAPFA, and NAIFA |
Registered Rep.
January 11, 2010
David A. Geracioti |
BoA and TD Ameritrade on Raymond James' Analysts' Best Picks for 2010 Analysts at Raymond James pick a list of stocks believed to produce above-average price appreciation over the next 55 weeks. |
BusinessWeek
October 21, 2009
Farzad & Francis |
The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast. |
Investment Advisor
March 2009
Melanie Waddell |
When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators. |
Registered Rep.
June 29, 2011
Kristen French |
Raymond James Hit With $300 million ARS Settlement; Pay Back For All ARS Clients The company has agreed to a multi-state settlement that will require the firm to buy back $300 million in auction rate securities it sold to clients prior to the collapse of the ARS market in February of 2008. |
Investment Advisor
March 2010 |
Changes Personnel moves: Schwab Advisor Services executive David Welling joins Black Diamond... William Warmington joins Raymond James as a senior analyst... Securities and Exchange Commission announces appointment of Thomas Sporkin... more... |
Investment Advisor
July 2009
Bob Clark |
Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation. |
The Motley Fool
July 15, 2011 |
Raymond James Financial Earnings Preview Raymond James Financial will unveil its latest earnings on Wednesday, July 20. |
Registered Rep.
July 22, 2010
Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms. |
BusinessWeek
June 3, 2010
Jesse Westbrook |
The SEC's BlackBerry Compromise The agency will give employees BlackBerrys -- but won't demand that they keep them on weekends or after hours |
Registered Rep.
June 17, 2009
Christina Mucciolo |
The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard. |
Registered Rep.
June 1, 2005
Karen Donovan |
No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior. |
Registered Rep.
October 23, 2007
David A. Geracioti |
If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money. |
Registered Rep.
December 16, 2008
Bill Singer |
Have Arthur Levitt's Words Come Back to Haunt Him? On the heels of the recent lurid discoveries about Bernard Madoff's multi-billion-dollar fraud, former SEC Chair Arthur Levitt is quoted in the article as saying: "At this point, I don't see any evidence that the SEC dropped the ball." |
Investment Advisor
June 2010
Melanie Waddell |
FINRA's Ketchum Sees a Fiduciary Future for B/Ds Inappropriate sales of VAs to seniors at top of FINRA regulatory radar. |
Investment Advisor
September 2009
Melanie Waddell |
SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme. |
