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Strategies & Market Trends : US vs Amr Elgindy - Trial Transcripts

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From: Patchie3/25/2007 4:37:21 PM
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Just how easy it is to post enforcement cases...

Former Raymond James Branch Manager Donna Vogt Barred for Making Unsuitable Recommendations to Retirees

Washington, D.C. — NASD announced today that it has fined Raymond James Financial Services, Inc. (RJFS) of St. Petersburg, FL, $2.75 million for failing to maintain an adequate supervisory system to oversee the sales activities of over 1,000 producing branch managers working in offices throughout the United States.
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