Despite in-state firms' smaller markups, Collier County, Fla., pursues suit
- Fla. County files new yield-burning lawsuit. Resnick, Amy B. // Bond Buyer;03/24/99, Vol. 327 Issue 30605, p2
Reports on the lawsuit filed by Collier County, Florida, against William R. Hough & Co., Raymond James & Associates Inc. and several individuals and corporations for alleged violation of state law in their sale of Treasuries. Yield-burning abuses committed by the defendants; Role of the...
- Firms call for dismissal of charges by Florida county. Hume, Lynn // Bond Buyer;07/08/99, Vol. 329 Issue 30678, p4
Reports that William R. Hugh & Co. and Raymond James & Associates Inc. are urging a Collier County, Florida circuit court to dismiss the yield-burning suit that was filed against them by Dwight Brock. Details of the lawsuit; Sale of Treasury securities to the county.
- Yield-burning suit to be filed against Florida-based dealers. Hume, Lynn Stevens // Bond Buyer;12/02/98, Vol. 326 Issue 30531, p1
Reports on the filing of yield-burning charges against Raymond James & Associates Inc. and other bond dealers filed on behalf of Collier County, Florida. Background of the case; Proposal for classifying the lawsuit as a class action move; Termination of settlement negotiations with the bond...
- Wells Wins $12M in Adviser Dispute. // American Banker;2/5/2010, Vol. 175 Issue F305, p16
The article reports that Wells Fargo Advisors LLC has been awarded 12.1 million dollars from Raymond James & Associates Inc. for alleged adviser raiding.
- LEGAL: Clause and effect. Macdonald, Sam // Marketing Week;8/4/2011, p98
The article discusses the court case involving IFA firm Raymond James & Associates Inc. and seven former Edward Jones & Co. LP advisers. The case involved allegations of solicitation, conspiracy and wilful commercial injury laid against the seven former Edward Jones advisers and their new...
- Clause and effect. Macdonald, Sam // Money Marketing;8/4/2011, p34
The article discusses a court case brought by Towry against independent financial adviser (IFA) firm Raymond James and seven former Edward Jones (EJ) advisers in Great Britain. The case involves allegations of solicitation, conspiracy, and wilful commercial injury against the advisers and Towry...
- Protect yourself from fraud. Nusbaum, David // Futures: News, Analysis & Strategies for Futures, Options & Deri;Mar1995, Vol. 24 Issue 3, p64
Warns investors about fraud in trading. Commodity Futures Trading Commission (CFTC); Number of complaints; Background check on stockbroker; Fraudulent sales practices; Telemarketing; Cases; Out-of-the-money options; Effect of infomercials; Recovery; Exemptions to anti-fraud laws. INSETS:...
- Crooks and post-Communist riches. Reerink, Jack // Futures: News, Analysis & Strategies for Futures, Options & Deri;Mar1995, Vol. 24 Issue 3, p66
Discusses the factors which make Eastern Europeans ideal targets for trading fraud. Circulation of money; Regulations against investments abroad; Lack of bank regulation; Sophistication of investors; Sample case.
- Orange County-style fiasco not likely here, officials say. Kohout, Cheryl // Inside Tucson Business;9/11/95, Vol. 5 Issue 24, p1
Reports on efforts in Pima County, Arizona to prevent the repeat of the Orange County, California fiasco in Arizona. Estimated loss of Orange County in the fiasco; Three rules applied by Pima County in investing; Meeting between Pima County officials and representatives from Patterson &...