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 |
|---|---|---|---|---|---|---|---|---|
| Richard Boyd Swift | 3082572 | 1 | 08/28/2024 | Customer Dispute | Pending | $28,783.20 | $0.00 | See FINRA Report |
| Jared Kenneth Kirby | 5990489 | 1 | 08/19/2024 | Customer Dispute | Pending | $10,667.00 | $0.00 | See FINRA Report |
| Lisa C Esteves-Dixon | 2274989 | 2 | 08/19/2024 | Customer Dispute | Pending | $10,667.00 | $0.00 | See FINRA Report |
| Amy Marie Charles | 2693547 | 2 | 08/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Amy Marie Charles | 2693547 | 2 | 08/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Logan Barrett Saufley | 6450309 | 1 | 07/22/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sara Yasmin Qazi | 4118177 | 5 | 07/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle L Nixon | 7785655 | 1 | 07/15/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Britt Meagan Doyle | 5600782 | 1 | 07/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Joel Rubin | 1936202 | 3 | 06/28/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |