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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Malcolm C Tarver | 442748 | 6 | 03/27/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Wayne Childers | 1065985 | 1 | 03/26/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| William Bruce Body | 1547342 | 4 | 02/21/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Michael Johnson | 1713098 | 2 | 02/12/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| David Henry Niswonger | 1273647 | 3 | 02/07/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |