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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Robert Charles Brooks | 2210771 | 3 | 08/21/2001 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Charles William Gillingham | 2521606 | 3 | 08/02/2001 | Customer Dispute | Closed-No Action | $41,000.00 | $0.00 | See FINRA Report |
| Kimball Stanley III Bullard | 3218049 | 6 | 07/20/2001 | Customer Dispute | Closed-No Action | $18,896.00 | $0.00 | See FINRA Report |
| Robert Michael Peabody | 1022774 | 3 | 06/26/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Malcolm C Tarver | 442748 | 6 | 05/04/2001 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| James J Dowd | 1155775 | 6 | 04/05/2001 | Customer Dispute | Closed-No Action | $23,523.40 | $0.00 | See FINRA Report |