FINRA bars John Neil Milne (CRD #1747745, New York, New York)
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Raymond James agrees to pay $15 million to settle SEC investigation
As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on Raymond James’s actions in improperly charging certain clients advisory fees when the...
read moreMarch 13, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Milne was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Milne consented to the sanction and to the entry of findings that he failed to appear for FINRA-requested testimony in connection with an investigation into his member firm. (FINRA Case #2016047624601). If you or someone you know has lost money investing with John Milne, call the experienced attorneys at Epperson & Greenidge at 877-445-9261 for a free consultation. You may be eligible to recoup your losses. Epperson & Greenidge accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-445-9261 now to speak to an attorney for free.