17-00514(2).pdf
consolidated with 17-00299
17-00299.pdf
consolidated with 17-00514
2019061061201 Raymond James & Associates, Inc. CRD 705 AWC va (2023-1677716408842).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER AND CONSENT
NO. 2019061061201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Raymond James & Associates, Inc. (Respondent)
Member Firm
CRD No. 705
Pursuant to FINRA Rule 9216, Respondent Raymond James & Associates, Inc. submits this
Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of
the alleged rule violations described below.