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 |
|---|---|---|---|---|---|---|---|---|
| Stephen K Wallace | 1590081 | 1 | 01/12/2001 | Customer Dispute | Closed-No Action | $85,000.00 | $0.00 | See FINRA Report |
| Willie Ray Horn | 1362201 | 5 | 09/29/2000 | Customer Dispute | Closed-No Action | $14,068.00 | $0.00 | See FINRA Report |
| Denver Doyle Attaway | 1098748 | 2 | 09/21/2000 | Customer Dispute | Closed-No Action | $10,815.80 | $0.00 | See FINRA Report |
| Michael Todd Bennett | 1277601 | 1 | 05/19/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Patrick Patat | 2212977 | 2 | 04/25/2000 | Customer Dispute | Closed-No Action | $62,625.00 | $0.00 | See FINRA Report |
| Sean Patrick Kilbride | 3074135 | 1 | 02/23/2000 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| William Roy Bredt | 1621507 | 4 | 12/13/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Christopher Horgan | 1620034 | 5 | 07/14/1999 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Bruce Jay Rhodes | 866914 | 7 | 05/19/1999 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Richard A. Holine | 2575857 | 1 | 08/14/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |