k8061709.htm
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the
Securities
Exchange Act of 1934
June
17, 2009
Date of
report (date of earliest event reported)
Raymond
James Financial, Inc.
(Exact
Name of Registrant as Specified in Its Charter)
Florida
(State or
Other Jurisdiction of Incorporation)
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1-9109
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59-1517485
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(Commission
File Number)
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(IRS
Employer Identification No.)
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880
Carillon Parkway St. Petersburg, FL 33716
(Address
of Principal Executive Offices) (Zip Code)
(727)
567-1000
(Registrant’s
Telephone Number, Including Area Code)
Not
Applicable
(Former
Name or Former Address, if Changed Since Last Report)
Check the
appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following
provisions:
o Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
o Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
o Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
o Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
Item
7.01 Regulation FD Disclosure
On June
17, 2009, Raymond James Financial, Inc. issued a press release stating the
Company has agreed to a censure and $1 million fine by the Financial Industry
Regulatory Authority (FINRA), regarding stock loan transactions and finders
payments during the years 2002 through early 2005. This fine was
previously fully reserved for and thus will not affect fiscal 2009
earnings.
The
information furnished herein, including Exhibit 99.1, is not deemed to be
"filed" for purposes of Section 18 of the Exchange Act, or otherwise subject to
the liability of that section. This information will not be deemed to
be incorporated by reference into any filing under the Securities Act or the
Exchange Act, except to the extent that the registrant specifically incorporates
them by reference.
Item
9.01 Financial Statements and Exhibits.
Exhibit
No.
99.1
Press release dated June 17, 2009 issued by Raymond James Financial,
Inc.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Registrant has
duly caused this report to be signed on its behalf by the undersigned hereunto
duly authorized.
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RAYMOND
JAMES FINANCIAL, INC.
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Date:
June 18, 2009
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By:
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/s/
Jeffrey P. Julien
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Jeffrey
P. Julien
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Senior
Vice President - Finance
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and
Chief Financial Officer
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