Our Staff has compiled our research into a database of FINRA Broker Disclosures for Richard James & Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William Robert Brown | 5774557 | 5 | 01/02/2014 | Customer Dispute | Settled | $29,250.00 | $0.00 | See FINRA Report |
| Frank V Barravechia | 2176908 | 15 | 06/03/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank V Barravechia | 2176908 | 15 | 10/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank V Barravechia | 2176908 | 15 | 10/17/2011 | Customer Dispute | Settled | $9,462.62 | $0.00 | See FINRA Report |
| Philip Florio | 2377440 | 1 | 10/06/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank V Barravechia | 2176908 | 15 | 08/10/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank V Barravechia | 2176908 | 15 | 06/29/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank V Barravechia | 2176908 | 15 | 03/29/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank V Barravechia | 2176908 | 15 | 12/09/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank V Barravechia | 2176908 | 15 | 10/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |