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Advisory firms grew 5.7% last year, according to a new study by The Ensemble Practice. It’s a wakeup call for firms to make marketing a vital function.
According to the settlement letter, the brokerage regulator argued Raymond James didn’t properly check that personnel were filling out forms to ensure that written customer complaints were submitted to FINRA quarterly.
The firm relied on “third-party automated surveillances” to check for potentially manipulative wash and prearranged trading which had overly narrow parameters, according to FINRA.