Raymond James & Associates and Raymond James Financial Services agreed to pay restitution of $1.69 million after the Financial Industry Regulatory Authority found it charged unfair and unreasonable commissions.

Investors should stop “chasing returns” and remember to be careful when dealing with riskier, complex products that promise higher returns than traditional investments, a financial authority warns.

A Herndon, Va., man was barred by the Financial Industry Regulatory Authority (FINRA) after he misappropriated more than $8,500 in customers’ funds to qualify for a sales incentive program.

A Rosemount, Minn., man was fined $10,000 and suspended by the Financial Industry Regulatory Authority for three months after he helped a relative to improperly sell a fixed and variable annuity.

The following case summaries are based on information obtained from the Financial Industry Regulatory Authority (FINRA).

A Livingston, N.J., woman was barred by the Financial Industry Regulatory Authority (FINRA) for taking about $18,000 from her supervisors’ account to pay for personal expenses.

The Financial Industry Regulatory Authority (FINRA) barred an Independence, Kan., woman after finding she kept part of annual insurance premiums payments.

The Financial Industry Regulatory Authority (FINRA) has expelled an Austin, Texas, corporation, barred its former president and a former broker at the firm for a scheme that overcharged an elderly investor by $1.2 million.

The Maryland Insurance Administration recently reported the following cases, which are summarized based on information obtained from the agency.

The Financial Industry Regulatory Authority fined a Tampa, Fla., woman $5,000 for accessing study materials from her locker during a Series 6 exam break.