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Raymond James Financial Inc. – RJF: Confirmed, Undisclosed SEC Investigation. The first Freedom of Information Act (FOIA) response indicating an SEC investigation was dated 12-Apr-2019, and later confirmed in an appeal response dated 10-May-2019. This is a change from a response dated 08-Feb-2018, at which time no signs of recent SEC investigative activity were found. With new data reflected in this report, Raymond James Financial Inc. is added to our Watch List of companies with confirmed, undisclosed SEC investigations.
Clients are invited to contact us anytime, in total confidence, to discuss how to better assess the risks we identify here.
Note: New SEC investigative activity could theoretically begin or end after the date covered by this latest information which would not be reflected here.