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 |
|---|---|---|---|---|---|---|---|---|
| Clifford John Mulder | 2356828 | 1 | 07/11/2002 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| John Grover Wilson | 846175 | 2 | 07/08/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Cynthia Elaine Harless | 1882246 | 3 | 06/24/2002 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Francis Barry Edick | 1570075 | 2 | 06/10/2002 | Customer Dispute | Closed-No Action | $9,000.00 | $0.00 | See FINRA Report |
| Mauri Duane Hendrickson | 2136257 | 10 | 05/24/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alan Todd Patten | 2068984 | 1 | 04/19/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Mark H Pearce | 2696479 | 2 | 03/13/2002 | Customer Dispute | Closed-No Action | $55,929.40 | $0.00 | See FINRA Report |
| Kevin James Cahill | 1589849 | 3 | 02/04/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Sharpham Jones | 2037546 | 8 | 01/02/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Jay Schoff | 2232419 | 2 | 09/05/2001 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |