Close

Articles Posted in Raymond James Financial

Updated:

Former Raymond James Financial Broker Paul F. Gans Jr. Suspended For Loaning Money to Clients

One of the well-known and strictly enforced rules in the securities industry is that brokers should not enter into undisclosed private loan transactions with their clients.  A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Paul F.…

Contact Us