Tag Archives: James Joseph Kearney

Raymond James Stockbroker Sanctioned For Unauthorized Trading

November 24, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

James Joseph Kearney of Houston Texas a stockbroker formerly registered with Raymond James Associates Inc. has been fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Kearney executed more than two-hundred unauthorized trades in the accounts of Raymond James customers. Letter […]

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