Something Powerful

Tell The Reader More

The headline and subheader tells us what you're offering, and the form header closes the deal. Over here you can explain why your offer is so great it's worth filling out a form for.

Remember:

  • Bullets are great
  • For spelling out benefits and
  • Turning visitors into leads.

Something Powerful

Tell The Reader More

The headline and subheader tells us what you're offering, and the form header closes the deal. Over here you can explain why your offer is so great it's worth filling out a form for.

Remember:

  • Bullets are great
  • For spelling out benefits and
  • Turning visitors into leads.

Raymond James Fined $2 Million

News came out over the holidays that Raymond James was fined $2 million for inadequate supervision of its company emails.

The company had set up a lexicon-based email review, but not all of the company's personnel had been monitored by this system and investigators determined that the lexicon-based review wasn't in itself sufficient.

I thought this was notable because it was a $2 million fine.

Now, Raymond James, obviously a great company, large company so $2 million in the grand scheme of things may not be meaningful to them. But, on the other hand, when you look at the fact that something like this could have been prevented with monitoring tools that are state-of-the-art, then it is a lot of money because it's $2 million that didn't really need to be spent.

raymond james, Compliance, FINRA, Regulatory, Financial Services, Lexicon

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