Raymond James & Associates Inc

03/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181032-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2009018103201finra.orgdata-portal.finra.org

07/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 201303785295-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc. Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

Reference 2013037852901finra.orgdata-portal.finra.org

09/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014042145301data-portal.finra.orgfinra.org

08/18/2026: From at least January 2018 through October 2024, Raymond James failed to report approximately 2.56 million fractional share liquidations to the FINRA/Nasdaq Trade Reporting Facility (TRF) and the Over-the-Counter Reporting Facility (ORF), in violation of FINRA Rules 6380A, 6622, and 2010. From at least January 2018 through October 2024, Raymond James failed to establish and maintain a supervisory system reasonably designed to comply with its reporting obligations for fractional share trades, in violation of FINRA Rules 3110 and 2010. For these violations, the firm is censured, fined $125,000, and subject to an undertaking to pay regulatory transaction fees as described below.

Reference 2023078630201data-portal.finra.orgfinra.org

03/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090172421-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009017242101data-portal.finra.orgfinra.org

09/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024958501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Member CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. ("RJA") submits this Letter of Acceptance, Waiver and Consent ("AWC'') for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2010024958501data-portal.finra.orgfinra.org

04/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090174125-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2009017412501data-portal.finra.orgfinra.org

09/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100239953 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates. Inc. ("Raymond James," "Respondent" or "the Firm") CRD No.705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2010023995301data-portal.finra.orgfinra.org

09/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140431687-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm" or ''Respondent'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2014043168701data-portal.finra.orgfinra.org

05/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05050020 TO: Department of Enforcement NASD RE: Raymond James & Associates, Inc., Respondent [CRD No. 705] and Angelo Masut, Jr., Respondent General Securities Representative [CRD No. 1245245] Pursuant to Rule 9216 of the NASD Code of Procedure, Raymond James & Associates, Inc., and Angelo Masut, Jr. submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference C05050020data-portal.finra.orgfinra.org

11/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 200261652-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011026165201finra.orgdata-portal.finra.org

09/22/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009525901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Member Firm (CRD No. 250901) Pursuant to Rule 9216 ofthe FINRA Code of Procedure, Respondent Raymond James & Associates, Inc. ("Respondent" or "RJ or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2007009525901finra.orgdata-portal.finra.org

12/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130368943-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc., (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013036894301finra.orgdata-portal.finra.org

08/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110280383-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc. ("RAJA"), Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011028038301data-portal.finra.orgfinra.org

03/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110303457-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. ("Respondent," "RAJA," or the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2011030345701data-portal.finra.orgfinra.org

09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090168677-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2009016867701finra.orgdata-portal.finra.org

02/13/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060037055-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond James & Associates, Inc., Respondent Member Firm No. CRD 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement

Reference 2006003705501data-portal.finra.orgfinra.org

06/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050037 TO: Department of Enforcement NASD RE: Raymond James & Associates, Inc., Respondent [CRD No. 705] Pursuant to Rule 9216 of the NASD Code of Procedure, Raymond James & Associates, Inc., submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

Reference C07050037finra.orgdata-portal.finra.org

09/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215977-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2010021597701data-portal.finra.orgfinra.org

10/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond James & Associates, Inc., Respondent Member Firm CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Raymond James & Associates, Inc. (Raymond James or the firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018057742301data-portal.finra.orgfinra.org

01/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080157569 TO: Department of Enforcement Financial Industry Regulatory Authority ("'FINRA") RE: Raymond James & Associates, Inc. (the "Firm") CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Firm submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

Reference 2008015756901data-portal.finra.orgfinra.org

07/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044309001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Member CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. ("Raymond James" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2015044309001finra.orgdata-portal.finra.org

11/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000138-01 TO: Department of Market Regulation NASD RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to Rule 9216 of the NASD Code of Procedure, Raymond James & Associates, Inc. ("RAJA" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part It below. This AWC is submitted on

Reference 2004200013801finra.orgdata-portal.finra.org

01/30/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061061201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond James & Associates, Inc. (Respondent) Member Firm CRD No. 705 Pursuant to FINRA Rule 9216, Respondent Raymond James & Associates, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019061061201finra.orgdata-portal.finra.org

01/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008429301 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Raymond James & Associates, Inc., Respondent Broker-Dealer CRD No. 705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James & Associates, Inc. (the "firm) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2007008429301data-portal.finra.orgfinra.org