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Raymond James Financial, Inc. Message Board

  • stpthescandals stpthescandals May 18, 2005 10:25 AM Flag

    investigators need to look harder...

    the SEC recommended fines seem light given the lack of internal controls at RJF...investigators need to look further into wrongful correspondence between IB and research, specifically. additionally, it appears as though research has had access to inside information (over e-mail no less)!

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    • regulators_have_been_notified regulators_have_been_notified May 25, 2005 7:43 AM Flag

      If you have information which would be helpful to the SEC or NASD why don't you tell them?

      Sarbanes-Oxley has provisions which protect internal whistleblowers.

      Do you need contact information for persons at the SEC or NASD?

      • 1 Reply to regulators_have_been_notified
      • I used to work for a brokerage firm where the corp officer in charge of PR & marketing worked the yahoo msg board under an assumed name.

        I guess they thought they could regulate information being disbursed somehow. Maybe by pursuing defamation suits? Slander? Or perhaps flooding the board with chat when negative information appeared.

        Seems like that now.. some contributors may be working damage control under the guise of interested parties by innocently asking for specific names of SEC violators and criminal conduct.

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