描述
NASD fined Raymond James Financial Services, Inc. $2.75 Million for failing to maintain an adequate supervisory system to oversee the sales activities of over 1,000 producing branch managers working in offices throughout the United States. For more info visit https://www.investmentexecutive.com/news/from-the-regulators/nasd-fines-raymond-james-for-lax-supervision-of-producing-branch-managers/