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 |
|---|---|---|---|---|---|---|---|---|
| Allan E Weiss | 5520555 | 1 | 12/15/2020 | Customer Dispute | Closed-No Action | $116,500.00 | $0.00 | See FINRA Report |
| Jessica Wasserman Hall | 4879088 | 3 | 08/17/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Diane Kimberley Fisher | 1125776 | 3 | 11/15/2018 | Customer Dispute | Closed-No Action | $253,285.00 | $0.00 | See FINRA Report |
| Michael S Vejins | 4369810 | 1 | 07/19/2018 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Napolitano | 1177646 | 1 | 12/18/2017 | Customer Dispute | Closed-No Action | $450,000.00 | $0.00 | See FINRA Report |
| Charles Frank Tourangeau | 4395024 | 1 | 02/28/2017 | Customer Dispute | Closed-No Action | $6,162.76 | $0.00 | See FINRA Report |
| Stephen Paul Solverson | 5295592 | 1 | 11/01/2016 | Customer Dispute | Closed-No Action | $7,539.00 | $0.00 | See FINRA Report |
| Richard Earl Palmer | 2732044 | 2 | 07/13/2016 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| George Edward Mathis | 4271854 | 3 | 08/24/2015 | Customer Dispute | Closed-No Action | $17,946.90 | $0.00 | See FINRA Report |
| Roy Byrd Price | 2175109 | 3 | 04/02/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |