Raymond James & Associates, Inc., and Raymond James Financial Services, Inc.
Document ID: S-23-0014-23-OR01
A consent order entered in connection with failing to establish and maintain a supervisory system that is reasonably designed to achieve compliance with securities laws and regulations pursuant to Ark. Code Ann. §§ 23-42-301(f) and 23-42-308(a)(2)(J), and Rule 301.01(c).