Live Breaking News & Updates on Financial Regulation Administrator

Stay updated with breaking news from Financial regulation administrator. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.

Digital Money Warning: State issues consumer alert

The Oregon Division of Financial Regulation is warning Oregonians to use caution when investing in cryptocurrencies, nonfungible tokens, or other new or volatile products. ....

United States , Oregon Division Of Financial Regulation , American Securities Administrators Association , Oregon Division , Financial Regulation , Financial Regulation Administrator ,

Oregon Broker, Raymond James, Fined For 'Churning' Claims – InsuranceNewsNet

The Oregon Division of Financial Regulation issued $220,000 in civil penalties, and Raymond James Financial Services, Inc. agreed to pay $123,279 in restitution to the victims of the excessive trading practices of Gary Dodds.
Dodds, a stock broker for Raymond James Financial Services, conducted churning, a method of excessive trading to receive additional commissions, on several of his clients’ accounts from 2016 to 2018, according to court documents.
The division’s investigation revealed Dodds made unsuitable recommendations and sales of securities for his clients and failed to maintain proper documentation of his trading activities, Oregon officials said in a news release. The division also learned that Raymond James Financial Services was aware of his actions, but did not take adequate corrective steps. ....

United States , Gary Dodds , Raymond James Financial Services Inc , Division Of Financial Regulation Administrator Tk Keen , Raymond James Financial Services , Oregon Division Of Financial Regulation , Oregon Division , Financial Regulation , Financial Regulation Administrator , Insurance News , Advisor News , ஒன்றுபட்டது மாநிலங்களில் , கேரி டாட்ஸ் , ரேமஂட் ஜேம்ஸ் நிதி சேவைகள் இன்க் , ரேமஂட் ஜேம்ஸ் நிதி சேவைகள் , ஓரிகந் பிரிவு ஆஃப் நிதி ஒழுங்குமுறை , ஓரிகந் பிரிவு , நிதி ஒழுங்குமுறை , காப்பீடு செய்தி ,