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.
After a sluggish first six months of 2023, publicly-traded REIT total returns are up more than 10% in the third quarter and by double-digits year-to-date.
To ensure uninterrupted delivery of this critical eNewsletter alert be sure to add WealthManagement.com and the reply address to your list of safe sender contacts.
