# SEC Securities Act of 1933 order 33-9228
> Respondent: **Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.** · 2011-06-29 · File 3-14445
## Proceeding
- **Release Number:** 33-9228
- **Act:** Securities Act of 1933
- **File Number:** 3-14445
- **Publish Date:** 2011-06-29
## Respondents
- Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2011/33-9228.pdf](https://www.sec.gov/files/litigation/admin/2011/33-9228.pdf)

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*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*