Episodes
![0104 - Investment News Reports SEC Fines Raymond James $15m](https://pbcdn1.podbean.com/imglogo/ep-logo/pbblog5598989/SEC_300x300.jpg)
Wednesday Oct 16, 2019
0104 - Investment News Reports SEC Fines Raymond James $15m
Wednesday Oct 16, 2019
Wednesday Oct 16, 2019
Rik discuses the $15m SEC fine imposed on Raymond James by the SEC for improperly charging advisory fees on inactive accounts.
Version: 20240320
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