Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond 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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Brendza | 1703163 | 3 | 01/30/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Colin Seibert | 2710335 | 5 | 01/13/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory C Teschke | 5037784 | 1 | 01/12/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Guardiola | 2946102 | 1 | 12/28/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Sardina | 3068885 | 3 | 12/16/2022 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| David Michael Brendza | 1703163 | 3 | 12/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin F Duffy | 4481935 | 2 | 12/08/2022 | Customer Dispute | Pending | $124,209.00 | $0.00 | See FINRA Report |
| Renee Suzanne Ballow | 5094632 | 2 | 12/06/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erold Merko | 5404228 | 2 | 12/01/2022 | Customer Dispute | Denied | $53,000.00 | $0.00 | See FINRA Report |
| Collin Larry Rigler | 1932563 | 2 | 11/28/2022 | Customer Dispute | Pending | $44,720.70 | $0.00 | See FINRA Report |