RAYMOND JAMES FINANCIAL SERVICES INC

10/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028605901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James Financial Services, Inc., Respondent Member Firm CRD No. 6694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James Financial Services, Inc., ("RJFS") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2011028605901finra.orgdata-portal.finra.org

04/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001729502 TO: Department of Enforcement NASD RE: Raymond James Financial Services, Inc., Respondent CRD No. 6694 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent 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

Reference 2005001729502data-portal.finra.orgfinra.org

03/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018985203 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James Financial Services, Inc., Respondent CRD No. 6694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James Financial Services, Inc. ("RJFS") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009018985203finra.orgdata-portal.finra.org

02/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400730001 TO: Department of Enforcement NASD RE: Raymond James Financial Services, Inc. (CRD No. 6694) Pursuant to Rule 9216 of NASD Code of Procedure, Raymond James Financial Services, Inc. ("RJFS" or "Member") 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

Reference EAF0400730001finra.orgdata-portal.finra.org

07/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044309501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James Financial Services, Inc., Respondent Member CRD No. 6694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raymond James Financial Services, Inc. (''Raymond James" or the''Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2015044309501data-portal.finra.orgfinra.org

06/01/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010730701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James Financial Services, Inc., Respondent Member Firm CRD No. 6694 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Raymond James Financial Services, Inc. ("Raymond James" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2007010730701data-portal.finra.orgfinra.org

12/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036343601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raymond James Financial Services, Inc., Respondent FINRA Member Firm CRD No. 6694 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 of the alleged rule

Reference 2013036343601data-portal.finra.orgfinra.org