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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Joseph Becker | 2178577 | 3 | 02/23/2001 | Customer Dispute | Award / Judgment | $45,000.00 | $21,749.90 | See FINRA Report |
| Louis Weihon Joe | 258778 | 4 | 02/16/2001 | Customer Dispute | Award / Judgment | $195,070.00 | $200,670.00 | See FINRA Report |
| Elliot Weissmark | 3042550 | 7 | 02/06/2001 | Customer Dispute | Award / Judgment | $68,000.00 | $0.00 | See FINRA Report |
| Thomas Gerard Stuhlsatz | 1401703 | 2 | 01/19/2001 | Customer Dispute | Award / Judgment | $168,425.00 | $64,000.00 | See FINRA Report |
| Joseph Marie Andreoli | 1718688 | 1 | 07/26/2000 | Customer Dispute | Award / Judgment | $196,276.00 | $56,555.00 | See FINRA Report |
| Rhonda Lynn Rommel | 2558821 | 2 | 12/07/1999 | Customer Dispute | Award / Judgment | $250,000.00 | $75,000.00 | See FINRA Report |
| Gustav Albert Fingado | 1298754 | 1 | 11/11/1999 | Customer Dispute | Award / Judgment | $54,312.50 | $11,926.20 | See FINRA Report |
| Alan Miles Griffin | 853835 | 3 | 02/11/1999 | Customer Dispute | Award / Judgment | $1,400,000.00 | $797,901.00 | See FINRA Report |
| Dylan Mortenson Colby | 2203824 | 1 | 12/14/1998 | Customer Dispute | Award / Judgment | $5,863.00 | $562.50 | See FINRA Report |
| William F Wolbrecht | 1403619 | 5 | 06/18/1998 | Customer Dispute | Award / Judgment | $40,000.00 | $5,000.00 | See FINRA Report |