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Raymond James Financial10-Q: Internal control weakness

Raymond James flags risk of 'unintended business outcomes' from financial models.

Read at SEC EDGAR

What happened

The company acknowledges model risk arising from the design, implementation, or use of its financial models. This creates a need for robust model validation, governance, and risk management solutions to prevent financial losses or poor business decisions.

Source

SEC EDGARMay 6, 2026

Quarterly report (Form 10-Q)

Raymond James Financial 10-Q

Filing excerpt

Model risk refers to the possibility of unintended business outcomes arising from the design, implementation or use of models.

sec.gov/Archives/edgar/data/720005/000072000526000051/rjf-20260331.htmRead the full source

Other signals in this filing (8)

Extracted by Autobound

From the Signal API record
Signal
10-Q: Internal control weakness

What this signalsFilings often name leadership changes, deals and spending plans.

Fiscal year end
03/31
Filed
May 6, 2026

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The full record

From the Signal API record

Details

CIK
720005
Accession number
0000720005-26-000051
Filing year
2026
Fiscal year
0
Why it matters
Compliance monitoring needed
Signal category
Risk

Extraction

Confidence
High
Relevance
70%
Sentiment
Negative
Detected
May 12, 2026
signal_type
sec-10q
signal_subtype
internalControlWeakness

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The API returns more than this page shows

This page shows a preview. The full sec-10q record in the Signal API and MCP can also have these 8 fields. Some fields are empty for some signals.

Company

  • linkedin_urlValue in the API
  • industriesValue in the API
  • employee_count_lowValue in the API
  • employee_count_highValue in the API
  • revenueValue in the API
  • descriptionValue in the API

Signal

  • signal_nameValue in the API
  • associationValue in the API
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Show the full JSONThe record on this page and the API request

GET /v1/signals/6781cd7c-821f-4c6a-8bd7-7f769fd175ec returns this record as JSON. POST /v1/companies/enrich returns every signal for raymondjames.com.

{
  "signal_id": "6781cd7c-821f-4c6a-8bd7-7f769fd175ec",
  "signal_type": "sec-10q",
  "signal_subtype": "internalControlWeakness",
  "detected_at": "2026-05-12T09:24:56.238+00:00",
  "company": {
    "name": "Raymond James Financial",
    "domain": "raymondjames.com"
  },
  "data": {
    "detail": "The company acknowledges model risk arising from the design, implementation, or use of its financial models. This creates a need for robust model validation, governance, and risk management solutions to prevent financial losses or poor business decisions.",
    "summary": "Raymond James flags risk of 'unintended business outcomes' from financial models.",
    "excerpts": "Model risk refers to the possibility of unintended business outcomes arising from the design, implementation or use of models.",
    "relevance": 0.7,
    "sentiment": "negative",
    "confidence": "high",
    "source_url": "https://www.sec.gov/Archives/edgar/data/720005/000072000526000051/rjf-20260331.htm",
    "filing_date": "2026-05-06",
    "filing_year": 2026,
    "fiscal_year": 0,
    "fiscal_year_end": "03/31",
    "sales_relevance": "Compliance monitoring needed",
    "signal_category": "risk"
  }
}

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