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SEC-FINRA Defense Blog
Under Investigation by the SEC, DOJ or FINRA? If you are under investigation by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators or the Department of Justice (DOJ), stay calm. Your first move should be to call a knowledgeable attorney. Contact The Law Firm of David R. Chase, P.A.,...
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The Financial Industry Regulatory Authority (FINRA) censured and fined Raymond James Financial Services (Raymond James) $400,000.00 for failing to implement procedures to detect suspicious transactions in the accounts of a customer who used the firm’s accounts to carry out a Ponzi scheme. The fraudulent scheme resulted in losses of approximately $17.8 million to the individual...
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