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Raymond James Financial is an independent investment bank and financial services in the United States that provides financial services to individuals, businesses and municipalities through its subsidiaries, which focus on investment and finance planning, investment banking and asset management. [4] The order launches Raymond James – Associates, Inc. and Raymond James Financial Services Advisors, Inc. for violating Sections 206 (2) and 206 (4) of the Investment Advisers Act of 1940 and Rule 206(4)-7, as well as Raymond James Associates, Inc. and Raymond James Financial Services, Inc. who violated Sections 17 (a) (a) and (3) of the Seities Act of 1933. To settle the charges, Raymond James` three units agreed to be censored and dispossessed of approximately $12 million, representing inappropriate client advisory fees and commissions for investment trusts, as well as anticipated penalties, and paying a civil fine of $3 million. All three Raymond James companies have agreed to make distributions to aggrieved investors. In 2012, the company acquired the Canadian assets of Allied Irish Bank. [6] In April 2012, they merged with Morgan Keegan And Company, creating one of the country`s largest in-service asset management and investment banks headquartered in New York.

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