Articles Tagged with Mutual Fund Switching Lawyers

Raymond James To Pay $1.8M Fine Over Purported Mutual Fund Monitoring Failures

Potentially Unsuitable Mutual Fund Switching May Have Caused Excessive Sales Fees, Commissions 

Raymond James Financial Services and Raymond James & Associates, which are both Raymond James Financial Inc. subsidiaries, have agreed to pay over $1.8M to settle Financial Industry Regulatory Authority (FINRA) allegations that they failed to properly supervise the reporting of customer complaints and mutual fund purchases, which resulted in higher fees for customers.