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 |
|---|---|---|---|---|---|---|---|---|
| John Charles Ferguson | 1451570 | 4 | 02/07/1995 | Customer Dispute | Award / Judgment | $3,079.81 | $3,079.81 | See FINRA Report |
| Joseph A Toro | 2116897 | 1 | 07/28/1994 | Customer Dispute | Award / Judgment | $260,000.00 | $90,000.00 | See FINRA Report |
| Gary Jay Handler | 1985218 | 9 | 07/21/1994 | Customer Dispute | Award / Judgment | $37,000.00 | $5,400.00 | See FINRA Report |
| C Larry Stephens | 725161 | 3 | 05/03/1994 | Customer Dispute | Award / Judgment | $135,000.00 | $10,000.00 | See FINRA Report |
| Brian Leonard Finnerty | 208042 | 1 | 01/17/1994 | Customer Dispute | Award / Judgment | $100,000.00 | $19,682.80 | See FINRA Report |
| Charles James Smith | 2086208 | 1 | 01/14/1994 | Customer Dispute | Award / Judgment | $9,662.06 | $6,662.06 | See FINRA Report |
| Jeffrey Wilson Cornell | 1884609 | 8 | 07/22/1993 | Customer Dispute | Award / Judgment | $9,961.00 | $8,719.00 | See FINRA Report |
| Ronald Rikio Ban | 1810619 | 2 | 07/21/1992 | Customer Dispute | Award / Judgment | $26,631.00 | $8,422.33 | See FINRA Report |
| Christopher John Leavy | 1056067 | 3 | 03/04/1992 | Customer Dispute | Award / Judgment | $3,120.00 | $2,155.00 | See FINRA Report |
| David Roger Gaeckler | 1059215 | 4 | 02/14/1992 | Customer Dispute | Award / Judgment | $100,000.00 | $42,000.00 | See FINRA Report |